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Violation Tracker Current Parent Company Summary

Current 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: $17,082,743,334
Number of records: 106
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$15,058,232,18385
competition-related offenses$1,921,325,0008
employment-related offenses$102,856,15110
miscellaneous offenses$250,0002
environment-related offenses$80,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$11,908,862,33369
price-fixing or anti-competitive practices$1,921,325,0008
toxic securities abuses$1,715,650,0007
tax violations$980,000,0002
banking violation$342,000,0001
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: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon .
UBS Securities LLC and UBS Financial Services, Inc.investor protection violation2008MULTI-AG$11,150,000,000
UBS Americas Inc.toxic securities abuses2013FHFA$885,000,000
UBS AGtax violations2009DOJ_TAX$780,000,000
UBS AGprice-fixing or anti-competitive practices2012CFTC$700,000,000
UBS Securities Japan Co. Ltd.price-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
UBStoxic securities abuses2017NCUA$445,000,000
UBS AGbanking violation2015FED$342,000,000
UBS AGprice-fixing or anti-competitive practices2014CFTC$290,000,000
UBS Securities LLCtoxic securities abuses2018NY-AG$230,000,000
UBS AGprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
UBS AGtax violations2009SEC$200,000,000
UBS AGprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
UBS Securities LLC and UBS Financial Services Inc.investor protection violation2008MULTI-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 Securities LLC and UBS Financial Services Inc.investor protection violation2022SEC$125,000,000
UBSinvestor protection violation2010MI-AG$117,000,000
UBS AGeconomic sanction violation2004FED$100,000,000
UBS AGprice-fixing or anti-competitive practices2011MULTI-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 Warburg LLCinvestor protection violation2003SEC$80,000,000
UBS Warburg LLCinvestor protection violation2002MULTI-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
UBS AGinvestor protection violation2022CFTC$75,000,000
UBStoxic securities abuses2016NCUA$69,800,000
UBS AGprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
UBS Securitiestoxic securities abuses2013SEC$50,000,000
UBSwage and hour violation2007private lawsuit-federal$45,000,000
UBSwage and hour violation2007private lawsuit-federal$44,000,000
UBS Financial Services, Inc. and UBS Securities LLCtoxic securities abuses2008MA-AG$35,000,000
UBS Financial Services Inc. of Puerto Ricoinvestor protection violation2012SEC$26,600,000
PaineWebber Incorporatedinvestor protection violation2000SEC$26,200,000
UBS Warburg and UBS PaineWebberinvestor protection violation2003MULTI-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 violation2022SEC$25,000,000
UBS Financial Services Inc.investor protection violation2006NJ-AG$24,750,000
UBS Financial Services, Inc.investor protection violation2007NY-AG$23,300,000
UBS AGinvestor protection violation2015SEC$19,500,000
UBS Financial Services Incorporated of Puerto Ricoinvestor protection violation2015FINRA$18,500,000
UBS Willow Management LLC and UBS Fund Advisor LLCinvestor protection violation2015SEC$17,500,000
UBS Financial Servicesinvestor protection violation2016SEC$15,025,882
UBS Financial Services Inc. of Puerto Ricoinvestor protection violation2015SEC$15,000,000
UBS AGinvestor protection violation2018CFTC$15,000,000
UBS Securities LLCinvestor protection violation2015SEC$14,400,000
UBS Securities LLCinvestor protection violation2011FINRA$12,000,000
UBS Financial Services, Inc.investor protection violation2011FINRA$10,750,000
UBS Financial Services Inc.investor protection violation2020SEC$10,000,000
UBS Financial Services Inc.investor protection violation2021SEC$8,112,174
UBS Securities LLCinvestor protection violation2011SEC$8,000,000
Warburg Dillon Read LLCinvestor protection violation2000SEC$6,680,000
UBS Securities LLCinvestor protection violation2010TX-SEC$6,640,432
UBS as successor to Piper Jaffraywage and hour violation2008private lawsuit-federal$5,500,000
UBS Financial Services Inc.investor protection violation2007CT-SEC$5,500,000
UBS Global Asset Managementbenefit plan administrator violation2006private lawsuit-federal$5,493,000
UBS O'Connor, LLCinvestor protection violation2013SEC$5,297,716
UBS Financial Services Inc.investor protection violation2018SEC$5,000,000
UBS Financial Services Inc.anti-money-laundering deficiencies2018FINCEN$5,000,000
UBS Financial Services Inc. and UBS Securities LLCanti-money-laundering deficiencies2018FINRA$5,000,000
UBS Financial Services Inc.investor protection violation2004SEC$4,621,768
UBS Financial Services Inc.investor protection violation2013MULTI-FIN$4,600,000
UBS Financial Services, Incinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services, Inc.investor protection violation2006MT-SEC$4,503,166
UBS Securities LLC and UBS Financial Services, Incinvestor protection violation2011NJ-AG$3,790,487
UBS Financial Services, Inc.investor protection violation2017SEC$3,500,000
UBS Securities LLCinvestor protection violation2022FINRA$2,500,000
UBS Financial Servicesinvestor protection violation2012FINRA$2,354,584
UBS Financial Services Inc.investor protection violation2019FINRA$2,000,000
UBS AGeconomic sanction violation2015OFAC$1,700,100
UBSwage and hour violation2012private lawsuit-federal$1,400,000
UBSwage and hour violation2015private lawsuit-federal$1,312,500
UBS Financial Services Inc.investor protection violation2011NH-BSR$1,000,000
UBS Financial Services, Inc.investor protection violation2008FINRA$1,000,000
UBS Financial Services Inc.investor protection violation2022SEC$925,000
UBS Securities LLCtoxic securities abuses2016VA-AG$850,000
UBS Securities LLCinvestor protection violation2010AK-DBS$733,465
UBS Securities LLCinvestor protection violation2005SEC$700,000
UBS Financial Services, Inc.investor protection violation2007MO-SEC$697,210
UBS Financial Servicesinvestor protection violation2011IN-SEC$677,000
UBS FINANCIAL SERVICES, INC.investor protection violation2010VA-SEC$625,000
UBS PaineWebber, Inc.investor protection violation2003SEC$500,000
UBS AGinvestor protection violation2021CFTC$500,000
UBS Financial Services Inc.investor protection violation2015SEC$480,000
UBS Financial Services, Inc.investor protection violation2007FINRA$370,000
UBS AGprice-fixing or anti-competitive practices2016WV-AG$325,000
UBS Financial Services Inc.investor protection violation2014VT-FIN$325,000
UBS Global Asset Managementinvestor protection violation2012SEC$300,000
UBS Financial Services Inc.investor protection violation2019VA-SEC$288,970
UBS Securitiesinvestor protection violation2009FINRA$268,000
UBS Financial Services Inc.investor protection violation2004FINRA$200,666
UBS Securitiesdata submission deficiencies2010CFTC$200,000
UBS Securities, LLCinvestor protection violation2008FINRA$200,000
UBS Financial Services, Inc.investor protection violation2009MO-SEC$170,175
UBS AGinvestor protection violation2010CFTC$130,000
UBS FINANCIAL SERVICES, INC.investor protection violation2007VA-SEC$100,000
UBS Financial Services, Inc.investor protection violation2009FINRA$100,000
UBS, Inc.wage and hour violation2013WHD$90,902
UBS AGenvironmental violation2011CT-ENV$80,000
UBS Financial Services Inc.investor protection violation2012NH-BSR$72,500
UBS Financial Services, Inc.investor protection violation2013DE-AG$70,077
Schwab Capital Markets, L.P.investor protection violation2004FINRA$70,000
UBS Financial Services, Inc.investor protection violation2013AK-DBS$64,661
UBS Financial Servicesinvestor protection violation2014SEC$56,400
UBS Fund Advisor, LLCdata submission deficiencies2009CFTC$50,000
UBS Financial Services, Inc.wage and hour violation2007WHD$27,152
UBS Inc.labor relations violation2010NLRB$26,351
UBS (USA) Inceconomic sanction violation2003OFAC$14,750
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.