UBS Financial Services, Inc. | investor protection violation | 2013 | AK-DBS | $64,661 |
UBS Financial Services Inc. | investor protection violation | 2007 | CT-SEC | $5,500,000 |
UBS Financial Services | investor protection violation | 2011 | IN-SEC | $677,000 |
UBS Financial Services, Inc. | investor protection violation | 2007 | MO-SEC | $697,210 |
UBS Financial Services, Inc. | investor protection violation | 2009 | MO-SEC | $170,175 |
UBS Financial Services, Inc. | investor protection violation | 2006 | MT-FIN | $4,503,166 |
UBS Financial Services Inc. | investor protection violation | 2011 | NH-BSR | $1,000,000 |
UBS Financial Services Inc. | investor protection violation | 2012 | NH-BSR | $72,500 |
UBS Securities LLC | investor protection violation | 2010 | TX-SEC | $6,640,432 |
UBS FINANCIAL SERVICES, INC. | investor protection violation | 2007 | VA-SEC | $100,000 |
UBS FINANCIAL SERVICES, INC. | investor protection violation | 2010 | VA-SEC | $625,000 |
UBS Financial Services Inc. | investor protection violation | 2019 | VA-SEC | $288,970 |
UBS Financial Services Inc. | investor protection violation | 2014 | VT-FIN | $325,000 |
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 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
UBS Financial Services Inc. | investor protection violation | 2013 | MULTI-FIN | $4,600,000 |
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 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 |
UBS Financial Services Inc. | investor protection violation | 2020 | SEC | $10,000,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2020 | SEC | $600,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2019 | FINRA | $6,500,000 |
UBS Financial Services Inc. | investor protection violation | 2019 | FINRA | $2,000,000 |
UBS Financial Services Incorporated of Puerto Rico | investor protection violation | 2015 | FINRA | $18,500,000 |
Credit Suisse Securities (USA), LLC | investor protection violation | 2014 | FINRA | $5,000,000 |
UBS Financial Services | investor protection violation | 2012 | FINRA | $2,354,584 |
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 | 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 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. | investor protection violation | 2007 | FINRA | $370,000 |
Credit Suisse Securities (USA), LLC | investor protection violation | 2006 | FINRA | $225,000 |
UBS International Inc. | investor protection violation | 2005 | FINRA | $10,000 |
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 |
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 |
CS First Boston Corp. | investor protection violation | 2000 | FINRA | $1,240,000 |
Credit Suisse | investor protection violation | 2021 | CFTC | $1,500,000 |
UBS Financial Services Inc. | investor protection violation | 2021 | SEC | $8,112,174 |
UBS AG | investor protection violation | 2021 | CFTC | $500,000 |
Credit Suisse Securities | investor protection violation | 2022 | FINRA | $9,000,000 |
UBS Financial Services Inc. | investor protection violation | 2022 | SEC | $25,000,000 |
UBS Financial Services Inc. | investor protection violation | 2022 | SEC | $925,000 |
Credit Suisse | investor protection violation | 2022 | CFTC | $75,000,000 |
UBS AG | investor protection violation | 2022 | CFTC | $75,000,000 |
UBS Securities LLC | investor protection violation | 2022 | FINRA | $2,500,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2022 | SEC | $125,000,000 |
UBS Securities LLC and UBS Financial Services Inc. | investor protection violation | 2022 | SEC | $125,000,000 |
Credit Suisse Securities (USA) LLC et al. | investor protection violation | 2022 | NJ-AG | $495,000,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2023 | SEC | $10,000,000 |
Credit Suisse Group AG | fraud | 2021 | DOJ_CRIMINAL | $175,500,000 |
Credit Suisse (Hong Kong) Limited | Foreign Corrupt Practices Act | 2018 | DOJ_CRIMINAL | $47,029,916 |
Credit Suisse Group AG | Foreign Corrupt Practices Act | 2018 | SEC | $29,700,000 |
Credit Suisse Group AG | Foreign Corrupt Practices Act | 2021 | SEC | $99,000,000 |
UBS AG | environmental violation | 2011 | CT-ENV | $80,000 |
UBS AG | economic sanction violation | 2015 | OFAC | $1,700,100 |
UBS AG | economic sanction violation | 2004 | FED | $100,000,000 |
Credit Suisse AG | economic sanction violation | 2009 | DOJ_CRIMINAL | $268,000,000 |
UBS (USA) Inc | economic sanction violation | 2003 | OFAC | $14,750 |
UBS (USA) Inc | economic sanction violation | 2003 | OFAC | $5,000 |
Credit Suisse AG | economic sanction violation | 2009 | NY-MANDA | $268,000,000 |
Credit Suisse | consumer protection violation | 2016 | private lawsuit-federal | $110,000,000 |
UBS Securities LLC | consumer protection violation | 2015 | private lawsuit-federal | $78,333,333 |
UBS Global Asset Management | benefit plan administrator violation | 2006 | private lawsuit-federal | $5,493,000 |
UBS AG | banking violation | 2015 | FED | $342,000,000 |
Credit Suisse AG | banking violation | 2014 | FED | $100,000,000 |
UBS | banking violation | 2023 | TX-AG | $850,000 |
UBS Group AG | banking violation | 2023 | FED | $268,500,000 |
UBS Financial Services Inc. | anti-money-laundering deficiencies | 2018 | FINCEN | $5,000,000 |
UBS Financial Services Inc. and UBS Securities LLC | anti-money-laundering deficiencies | 2018 | FINRA | $5,000,000 |
Credit Suisse Securities (USA) LLC | anti-money-laundering deficiencies | 2016 | FINRA | $16,500,000 |
Credit Suisse AG | accounting fraud or deficiencies | 2016 | SEC | $90,000,000 |