UBS Financial Services Inc. of Puerto Rico | investor protection violation | 2012 | SEC | $26,600,000 |
UBS Global Asset Management | investor protection violation | 2012 | SEC | $300,000 |
UBS AG | price-fixing or anti-competitive practices | 2012 | CFTC | $700,000,000 |
UBS | wage and hour violation | 2012 | private lawsuit-federal | $1,400,000 |
UBS Financial Services Inc. | investor protection violation | 2012 | NH-BSR | $72,500 |
UBS Financial Services | investor protection violation | 2012 | FINRA | $2,354,584 |
UBS AG | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $160,000,000 |
UBS Securities LLC | investor protection violation | 2011 | SEC | $8,000,000 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | investor protection violation | 2011 | SEC | $2,500,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2011 | NJ-AG | $1,057,996 |
UBS AG | price-fixing or anti-competitive practices | 2011 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,800,000 |
UBS Securities LLC and UBS Financial Services, Inc | investor protection violation | 2011 | NJ-AG | $3,790,487 |
UBS Financial Services | investor protection violation | 2011 | IN-SEC | $677,000 |
UBS Financial Services Inc. | investor protection violation | 2011 | NH-BSR | $1,000,000 |
UBS AG | environmental violation | 2011 | CT-ENV | $80,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2011 | FINRA | $1,750,000 |
UBS Securities LLC | investor protection violation | 2011 | FINRA | $12,000,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2011 | FINRA | $4,500,000 |
UBS Financial Services, Inc. | investor protection violation | 2011 | FINRA | $10,750,000 |
UBS Securities | investor protection violation | 2010 | CFTC | $200,000 |
UBS AG | investor protection violation | 2010 | CFTC | $130,000 |
UBS Inc. | labor relations violation | 2010 | NLRB | $26,351 |
UBS | investor protection violation | 2010 | MI-AG | $117,000,000 |
UBS Securities LLC | investor protection violation | 2010 | AK-DBS | $733,465 |
UBS Securities LLC | investor protection violation | 2010 | TX-SEC | $6,640,432 |
UBS FINANCIAL SERVICES, INC. | investor protection violation | 2010 | VA-SEC | $625,000 |
UBS Fund Advisor, LLC | investor protection violation | 2009 | CFTC | $50,000 |
Credit Suisse AG | economic sanction violation | 2009 | DOJ_CRIMINAL | $268,000,000 |
UBS AG | tax violations | 2009 | DOJ_TAX | $780,000,000 |
UBS AG | tax violations | 2009 | SEC | $200,000,000 |
Credit Suisse AG | economic sanction violation | 2009 | NY-MANDA | $268,000,000 |
UBS Financial Services, Inc. | investor protection violation | 2009 | MO-SEC | $170,175 |
UBS Securities | investor protection violation | 2009 | FINRA | $268,000 |
Credit Suisse Securities (USA), LLC | investor protection violation | 2009 | FINRA | $275,000 |
UBS Financial Services, Inc. | investor protection violation | 2009 | FINRA | $100,000 |
UBS as successor to Piper Jaffray | wage and hour violation | 2008 | private lawsuit-federal | $5,500,000 |
UBS Financial Services, Inc. and UBS Securities LLC | toxic securities abuses | 2008 | MA-AG | $35,000,000 |
UBS Securities LLC and UBS Financial Services, Inc. | investor protection violation | 2008 | MULTI-AG | $11,150,000,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
UBS Securities LLC and UBS Financial Services Inc. | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000 |
UBS Financial Services, Inc. | investor protection violation | 2008 | FINRA | $1,000,000 |
UBS Securities, LLC | investor protection violation | 2008 | FINRA | $200,000 |
UBS Financial Services, Inc. | wage and hour violation | 2007 | WHD | $27,152 |
UBS | wage and hour violation | 2007 | private lawsuit-federal | $44,000,000 |
UBS | wage and hour violation | 2007 | private lawsuit-federal | $45,000,000 |
UBS Financial Services, Inc. | investor protection violation | 2007 | NY-AG | $23,300,000 |
UBS Financial Services Inc. | investor protection violation | 2007 | CT-SEC | $5,500,000 |
UBS Financial Services, Inc. | investor protection violation | 2007 | MO-SEC | $697,210 |
UBS FINANCIAL SERVICES, INC. | investor protection violation | 2007 | VA-SEC | $100,000 |
UBS Financial Services, Inc. | investor protection violation | 2007 | FINRA | $370,000 |
UBS Global Asset Management | benefit plan administrator violation | 2006 | private lawsuit-federal | $5,493,000 |
UBS Financial Services Inc. | investor protection violation | 2006 | NJ-AG | $24,750,000 |
UBS Financial Services, Inc. | investor protection violation | 2006 | MT-FIN | $4,503,166 |
Credit Suisse Securities (USA), LLC | investor protection violation | 2006 | FINRA | $225,000 |
UBS Securities LLC | investor protection violation | 2005 | SEC | $700,000 |
Credit Suisse First Boston, LLC | investor protection violation | 2005 | SEC | $200,000 |
UBS International Inc. | investor protection violation | 2005 | FINRA | $10,000 |
UBS AG | economic sanction violation | 2004 | FED | $100,000,000 |
UBS Financial Services Inc. | investor protection violation | 2004 | SEC | $4,621,768 |
Donaldson, Lufkin & Jenrette Securities Corp. | investor protection violation | 2004 | SEC | $1,000,000 |
Credit Suisse First Boston, L.L.C. | investor protection violation | 2004 | FINRA | $50,000 |
Schwab Capital Markets, L.P. | investor protection violation | 2004 | FINRA | $70,000 |
UBS Securities, L.L.C. | investor protection violation | 2004 | FINRA | $10,000 |
UBS Financial Services Inc. | investor protection violation | 2004 | FINRA | $200,666 |
Credit Suisse First Boston LLC | investor protection violation | 2004 | FINRA | $770,000 |
UBS (USA) Inc | economic sanction violation | 2003 | OFAC | $14,750 |
UBS (USA) Inc | economic sanction violation | 2003 | OFAC | $5,000 |
UBS PaineWebber, Inc. | investor protection violation | 2003 | SEC | $500,000 |
Credit Suisse First Boston LLC | investor protection violation | 2003 | SEC | $200,000,000 |
UBS Warburg LLC | investor protection violation | 2003 | SEC | $80,000,000 |
Credit Suisse First Boston LLC | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000 |
UBS Warburg and UBS PaineWebber | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
Credit Suisse First Boston Corporation | investor protection violation | 2002 | SEC | $100,000,000 |
Credit Suisse First Boston Corp. | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $200,000,000 |
UBS Warburg LLC | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000 |
Credit Suisse First Boston Corporation | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Schwab Capital Markets | investor protection violation | 2001 | FINRA | $12,000 |
Credit Suisse First Boston Corporation | investor protection violation | 2001 | FINRA | $25,000 |
PaineWebber Incorporated | investor protection violation | 2000 | SEC | $26,200,000 |
Warburg Dillon Read LLC | investor protection violation | 2000 | SEC | $6,680,000 |
CS First Boston Corp. | investor protection violation | 2000 | FINRA | $1,240,000 |