Violation Tracker Parent Company Summary
Parent Company Name:
UBS
Ownership Structure:
publicly traded (ticker symbol NYSE: UBS)
Headquartered in:
Switzerland
Major Industry:
financial services
Specific Industry:
banking & securities
Penalty total since 2000:
$16,853,736,334
Number of records:
98
| Top 5 Offense Groups (Groups Defined) | Penalty Total | Number of Records |
|---|---|---|
| financial offenses | $14,829,225,183 | 77 |
| competition-related offenses | $1,921,325,000 | 8 |
| employment-related offenses | $102,856,151 | 10 |
| miscellaneous offenses | $250,000 | 2 |
| environment-related offenses | $80,000 | 1 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
|---|---|---|
| investor protection violation | $11,679,855,333 | 61 |
| interest rate benchmark manipulation | $1,761,000,000 | 5 |
| toxic securities abuses | $1,715,650,000 | 7 |
| tax violations | $980,000,000 | 2 |
| banking violation | $342,000,000 | 1 |
Notes:
Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.
Links:
Individual Penalty Records:
Click on the company or penalty amount for more information on each case.
| Company | Primary Offense Type | Year | Agency |
Penalty Amount |
|---|---|---|---|---|
| UBS Securities LLC and UBS Financial Services, Inc. | investor protection violation | 2008 | MULTI-AG | $11,150,000,000 |
| UBS Americas Inc. | toxic securities abuses | 2013 | FHFA | $885,000,000 |
| UBS AG | tax violations | 2009 | DOJ_TAX | $780,000,000 |
| UBS AG | interest rate benchmark manipulation | 2012 | CFTC | $700,000,000 |
| UBS Securities Japan Co. Ltd. | interest rate benchmark manipulation | 2012 | DOJ_ANTITRUST | $500,000,000 |
| UBS | toxic securities abuses | 2017 | NCUA | $445,000,000 |
| UBS AG | banking violation | 2015 | FED | $342,000,000 |
| UBS AG | interest rate benchmark manipulation | 2014 | CFTC | $290,000,000 |
| UBS Securities LLC | toxic securities abuses | 2018 | NY-AG | $230,000,000 |
| UBS AG | interest rate benchmark manipulation | 2015 | DOJ_CRIMINAL | $203,000,000 |
| UBS AG | tax violations | 2009 | SEC | $200,000,000 |
| UBS AG | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $160,000,000 |
| UBS Securities LLC and UBS Financial Services Inc. | investor protection violation | 2008 | MULTI-FIN | (*) $150,000,000 |
| UBS | investor protection violation | 2010 | MI-AG | $117,000,000 |
| UBS AG | economic sanction violation | 2004 | FED | $100,000,000 |
| UBS AG | price-fixing or anti-competitive practices | 2011 | MULTI-AG | (*) $90,800,000 |
| UBS Warburg LLC | investor protection violation | 2003 | SEC | $80,000,000 |
| UBS Warburg LLC | investor protection violation | 2002 | MULTI-AG | (*) $80,000,000 |
| UBS | toxic securities abuses | 2016 | NCUA | $69,800,000 |
| UBS AG | interest rate benchmark manipulation | 2018 | MULTI-AG | $68,000,000 |
| UBS Securities | toxic securities abuses | 2013 | SEC | $50,000,000 |
| UBS | wage and hour violation | 2007 | private lawsuit-federal | $45,000,000 |
| UBS | wage and hour violation | 2007 | private lawsuit-federal | $44,000,000 |
| UBS Financial Services, Inc. and UBS Securities LLC | toxic securities abuses | 2008 | MA-AG | $35,000,000 |
| UBS Financial Services Inc. of Puerto Rico | investor protection violation | 2012 | SEC | $26,600,000 |
| PaineWebber Incorporated | investor protection violation | 2000 | SEC | $26,200,000 |
| UBS Warburg and UBS PaineWebber | investor protection violation | 2003 | MULTI-FIN | (*) $25,000,000 |
| UBS Financial Services Inc. | investor protection violation | 2006 | NJ-AG | $24,750,000 |
| UBS Financial Services, Inc. | investor protection violation | 2007 | NY-AG | $23,300,000 |
| UBS AG | investor protection violation | 2015 | SEC | $19,500,000 |
| UBS Financial Services Incorporated of Puerto Rico | investor protection violation | 2015 | FINRA | $18,500,000 |
| UBS Willow Management LLC and UBS Fund Advisor LLC | investor protection violation | 2015 | SEC | $17,500,000 |
| UBS Financial Services | investor protection violation | 2016 | SEC | $15,025,882 |
| UBS Financial Services Inc. of Puerto Rico | investor protection violation | 2015 | SEC | $15,000,000 |
| UBS AG | investor protection violation | 2018 | CFTC | $15,000,000 |
| UBS Securities LLC | investor protection violation | 2015 | SEC | $14,400,000 |
| UBS Securities LLC | investor protection violation | 2011 | FINRA | $12,000,000 |
| UBS Financial Services, Inc. | investor protection violation | 2011 | FINRA | $10,750,000 |
| UBS Financial Services Inc. | investor protection violation | 2020 | SEC | $10,000,000 |
| UBS Financial Services Inc. | investor protection violation | 2021 | SEC | $8,112,174 |
| UBS Securities LLC | investor protection violation | 2011 | SEC | $8,000,000 |
| Warburg Dillon Read LLC | investor protection violation | 2000 | SEC | $6,680,000 |
| UBS Securities LLC | investor protection violation | 2010 | TX-SEC | $6,640,432 |
| UBS as successor to Piper Jaffray | wage and hour violation | 2008 | private lawsuit-federal | $5,500,000 |
| UBS Financial Services Inc. | investor protection violation | 2007 | CT-SEC | $5,500,000 |
| UBS Global Asset Management | benefit plan administrator violation | 2006 | private lawsuit-federal | $5,493,000 |
| UBS O'Connor, LLC | investor protection violation | 2013 | SEC | $5,297,716 |
| UBS Financial Services Inc. | investor protection violation | 2018 | SEC | $5,000,000 |
| 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 |
| UBS Financial Services Inc. | investor protection violation | 2004 | SEC | $4,621,768 |
| UBS Financial Services Inc. | investor protection violation | 2013 | MULTI-FIN | $4,600,000 |
| UBS Financial Services, Inc | investor protection violation | 2013 | MULTI-AG | $4,580,000 |
| UBS Financial Services, Inc. | investor protection violation | 2006 | MT-SEC | $4,503,166 |
| UBS Securities LLC and UBS Financial Services, Inc | investor protection violation | 2011 | NJ-AG | $3,790,487 |
| UBS Financial Services, Inc. | investor protection violation | 2017 | SEC | $3,500,000 |
| UBS Financial Services | investor protection violation | 2012 | FINRA | $2,354,584 |
| UBS Financial Services Inc. | investor protection violation | 2019 | FINRA | $2,000,000 |
| UBS AG | economic sanction violation | 2015 | OFAC | $1,700,100 |
| UBS | wage and hour violation | 2012 | private lawsuit-federal | $1,400,000 |
| UBS | wage and hour violation | 2015 | private lawsuit-federal | $1,312,500 |
| UBS Financial Services Inc. | investor protection violation | 2011 | NH-BSR | $1,000,000 |
| UBS Financial Services, Inc. | investor protection violation | 2008 | FINRA | $1,000,000 |
| UBS Securities LLC | toxic securities abuses | 2016 | VA-AG | $850,000 |
| UBS Securities LLC | investor protection violation | 2010 | AK-DBS | $733,465 |
| UBS Securities LLC | investor protection violation | 2005 | SEC | $700,000 |
| UBS Financial Services, Inc. | investor protection violation | 2007 | MO-SEC | $697,210 |
| UBS Financial Services | investor protection violation | 2011 | IN-SEC | $677,000 |
| UBS FINANCIAL SERVICES, INC. | investor protection violation | 2010 | VA-SEC | $625,000 |
| UBS PaineWebber, Inc. | investor protection violation | 2003 | SEC | $500,000 |
| UBS Financial Services Inc. | investor protection violation | 2015 | SEC | $480,000 |
| UBS Financial Services, Inc. | investor protection violation | 2007 | FINRA | $370,000 |
| UBS AG | price-fixing or anti-competitive practices | 2016 | WV-AG | $325,000 |
| UBS Financial Services Inc. | investor protection violation | 2014 | VT-FIN | $325,000 |
| UBS Global Asset Management | investor protection violation | 2012 | SEC | $300,000 |
| UBS Financial Services Inc. | investor protection violation | 2019 | VA-SEC | $288,970 |
| UBS Securities | investor protection violation | 2009 | FINRA | $268,000 |
| UBS Financial Services Inc. | investor protection violation | 2004 | FINRA | $200,666 |
| UBS Securities | data submission deficiencies | 2010 | CFTC | $200,000 |
| UBS Securities, LLC | investor protection violation | 2008 | FINRA | $200,000 |
| UBS Financial Services, Inc. | investor protection violation | 2009 | MO-SEC | $170,175 |
| UBS AG | investor protection violation | 2010 | CFTC | $130,000 |
| UBS FINANCIAL SERVICES, INC. | investor protection violation | 2007 | VA-SEC | $100,000 |
| UBS Financial Services, Inc. | investor protection violation | 2009 | FINRA | $100,000 |
| UBS, Inc. | wage and hour violation | 2013 | WHD | $90,902 |
| UBS AG | environmental violation | 2011 | CT-ENV | $80,000 |
| UBS Financial Services Inc. | investor protection violation | 2012 | NH-BSR | $72,500 |
| UBS Financial Services, Inc. | investor protection violation | 2013 | DE-AG | $70,077 |
| UBS Financial Services, Inc. | investor protection violation | 2013 | AK-DBS | $64,661 |
| UBS Financial Services | investor protection violation | 2014 | SEC | $56,400 |
| UBS Fund Advisor, LLC | data submission deficiencies | 2009 | CFTC | $50,000 |
| UBS Financial Services, Inc. | wage and hour violation | 2007 | WHD | $27,152 |
| UBS Inc. | labor relations violation | 2010 | NLRB | $26,351 |
| UBS (USA) Inc | economic sanction violation | 2003 | OFAC | $14,750 |
| UBS International Inc. | investor protection violation | 2005 | FINRA | $10,000 |
| UBS Securities, L.L.C. | investor protection violation | 2004 | FINRA | $10,000 |
| UBS Financial Services Inc. | wage and hour violation | 2018 | WHD | $6,246 |
| UBS (USA) Inc | economic sanction violation | 2003 | OFAC | $5,000 |
