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Violation Tracker Current Parent Headquarters Summary Page

HQ Country: Switzerland
Current Parent Penalty Total since 2000: $41,038,911,396
Number of Records: 2,090
Note: The totals here are derived only from entries matched to parent companies. They are adjusted to account for the fact that each parent's entries 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. They 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 individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
UBS$31,069,299,125179
Novartis$2,449,415,33736
Transocean$1,659,498,85911
Glencore$1,223,027,44811
Holcim Group$1,094,803,406890
Sandoz Group$693,683,11812
Julius Baer Group$626,000,0002
ABB Ltd.$566,854,93853
Roche$432,796,10526
Zurich Insurance$385,111,584186

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconAgencyPenalty Amount
PaineWebber IncorporatedUBSfinancial servicesinvestor protection violation2000SEC$26,200,000
Warburg Dillon Read LLCUBSfinancial servicesinvestor protection violation2000SEC$6,680,000
Otis Spunkmeyer, Inc.Aryztafood productslabor relations violation2000NLRB$6,500
CIBA VisionNovartispharmaceuticalsprice-fixing or anti-competitive practices2000MULTI-AG$5,000,000
Genentech Inc.Rochepharmaceuticalsoff-label or unapproved promotion of medical products2000MULTI-AG$19,000,000
Hoffman-LaRocheRochepharmaceuticalsprice-fixing or anti-competitive practices2000MULTI-AG$142,494,000
Hoffman-LaRocheRochepharmaceuticalsprice-fixing or anti-competitive practices2000CA-AG$47,498,000
Metropolitan Property and Casualty Insurance Co.Zurich Insurancefinancial servicesconsumer protection violation2000MA-AG$1,840,000
Mid-Century Insurance Co. of TexasZurich Insurancefinancial servicesinsurance violation2000TX-INS$11,000,000
HOLCIM (US) INCHolcim Groupbuilding materialsenvironmental violation2000PA-ENV$14,198
NESTLE USA BEVERAGE DIVISIONNestlefood productsenvironmental violation2000NJ-ENV$31,425
LONZA INCLonzachemicalsenvironmental violation2000TX-ENV$12,500
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000FINRA$1,240,000
Hoffmann-La RocheRochepharmaceuticalsprice-fixing or anti-competitive practices2000private lawsuit-federal$130,000,000
ABB PAINT AUTOMATION GROUPABB Ltd.utilities and power generationworkplace safety or health violation2000OSHA$8,375
CHIRON CORPORATIONNovartispharmaceuticalsworkplace safety or health violation2000OSHA$90,140
ABB INCABB Ltd.utilities and power generationworkplace safety or health violation2000OSHA$9,000
GERBER PRODUCTS COMPANYNestlefood productsworkplace safety or health violation2000OSHA$5,000
KUHLMAN ELECTRIC CORPORATIONABB Ltd.utilities and power generationworkplace safety or health violation2000OSHA$6,375
LIEBHERR AMERICA, INC.Liebherrheavy equipmentworkplace safety or health violation2000OSHA$9,800
AMPCO METAL INC.AMPCO Metalmetalsworkplace safety or health violation2000OSHA$14,700
NBTY, INC.Nestlefood productsenvironmental violation2000EPA$22,500
NBTY, INC. - BAYPORTNestlefood productsenvironmental violation2000EPA$25,000
NOVARTIS NUTRITION CORPORATIONNestlefood productsenvironmental violation2000EPA$13,090
STMICROELECTRONICS, INC.STMicroelectronicselectrical and electronic equipmentenvironmental violation2000EPA$5,000
SIKA CORPORATIONSika AGchemicalsenvironmental violation2000EPA$7,865
NOVARTIS PRODUCTSNovartispharmaceuticalsenvironmental violation2000EPA$13,200
NOVARTIS CONSUMER HEALTH, INC.Novartispharmaceuticalsenvironmental violation2000EPA$5,000
SIKA CORPORATIONSika AGchemicalsenvironmental violation2000EPA$5,445
ABB Middle East & Africa Participations AGABB Ltd.utilities and power generationprice-fixing or anti-competitive practices2001DOJ_ANTITRUST$53,000,000
Barry Callebaut U.S.A., Inc.Barry Callebautfood productslabor relations violation2001NLRB$30,000
Lattimore Materials Co. L.P.Holcim Groupbuilding materialslabor relations violation2001NLRB$45,000
Lattimore Materials Company, L.P.Holcim Groupbuilding materialslabor relations violation2001NLRB$27,000
Farmers Insurance GroupZurich Insurancefinancial servicesdiscriminatory practices (non-employment)2001OH-AG$4,300,000
Metropolitan Property and Casualty Insurance Co. et al.Zurich Insurancefinancial servicesinsurance violation2001MN-FIN$10,000
STMicroelectronics, Inc.STMicroelectronicselectrical and electronic equipmentenvironmental violation2001CA-DTSC$15,061
ROCHE DIAGNOSTICS CORPRochepharmaceuticalsenvironmental violation2001IN-ENV$13,200
LAFARGE GYPSUM FACILITY - NEWARKHolcim Groupbuilding materialsenvironmental violation2001NJ-ENV$12,000
LAFARGE GYPSUM FACILITY - NEWARKHolcim Groupbuilding materialsenvironmental violation2001NJ-ENV$8,500
NESTLE USA BEVERAGE DIVISIONNestlefood productsenvironmental violation2001NJ-ENV$45,000
ARCH CHEMICALS INCArxadachemicalsenvironmental violation2001TX-ENV$66,600
Schwab Capital MarketsUBSfinancial servicesinvestor protection violation2001FINRA$12,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2001FINRA$25,000
SCHINDLER ELEVATOR CORPORATIONSchindlermiscellaneous manufacturingworkplace safety or health violation2001OSHA$6,300
ABB POWER T & D COMPANY, INC.ABB Ltd.utilities and power generationworkplace safety or health violation2001OSHA$9,000
TYCO THERMAL CONTROLSPentairindustrial equipmentworkplace safety or health violation2001OSHA$20,700
TYCO ELECTRONICSTE Connectivityelectrical and electronic equipmentworkplace safety or health violation2001OSHA$5,270
ABB POWER T & D COMPANY, INC.ABB Ltd.utilities and power generationworkplace safety or health violation2001OSHA$25,000
HOLCIM (US) INC.Holcim Groupbuilding materialsworkplace safety or health violation2001OSHA$5,400
TYCO ELECTRONICS CORPORATIONTE Connectivityelectrical and electronic equipmentworkplace safety or health violation2001OSHA$5,360
RUSSELL STOVERS CANDIES, INC.Lindt & Sprunglifood productsenvironmental violation2001EPA$40,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002SEC$100,000,000
Transocean Sedco ForexTransoceanoilfield services and supplieswage and hour violation2002WHD$131,614
Novartis NutritionNestlefood productslabor relations violation2002NLRB$70,569
Novartis NutritionNestlefood productslabor relations violation2002NLRB$66,839
Nestle Nutrition DivisionNestlefood productslabor relations violation2002NLRB$25,000
Clariant CorporationClariantchemicalsrailroad safety violation2002FRA$5,000
Coast National InsuranceZurich Insurancefinancial serviceswage and hour violation2002private lawsuit-state$18,000,000
Aggregate IndustriesHolcim Groupbuilding materialsprice-fixing or anti-competitive practices2002MA-AG$20,000
Credit Suisse First Boston Corp.UBSfinancial servicesinvestor 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. $200,000,000
Hoffman-LaRocheRochepharmaceuticalsprice-fixing or anti-competitive practices2002MA-AG$111,167
UBS Warburg LLCUBSfinancial servicesinvestor 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
Zurich American Insurance Co.Zurich Insurancefinancial servicesinsurance violation2002FL-OFR$44,500
American Guarantee and Liability Insurance Co.Zurich Insurancefinancial servicesinsurance violation2002FL-OFR$10,850
Security National Insurance Co.Zurich Insurancefinancial servicesinsurance violation2002FL-OFR$31,500
Zurich DirectZurich Insurancefinancial servicesinsurance violation2002MA-INS$6,000
Zurich Life Insurance Company of AmericaZurich Insurancefinancial servicesinsurance violation2002MA-INS$12,000
Metropolitan Property and Casualty Insurance Co.Zurich Insurancefinancial servicesinsurance violation2002MN-FIN$7,500
Illinois Union Insurance Co.Chubb Limitedfinancial servicesinsurance violation2002MN-FIN$5,000
Chubb Indemnity Insurance Co.Chubb Limitedfinancial servicesinsurance violation2002MN-FIN$5,000
Farmers Insurance GroupZurich Insurancefinancial servicesinsurance violation2002TX-INS$15,000,000
Combined Insurance Company of AmericaChubb Limitedfinancial servicesinsurance violation2002VA-INS$27,000
LONZA INCLonzachemicalsenvironmental violation2002PA-ENV$9,000
Vitol S.A.Vitolfinancial servicesenvironmental violation2002CA-ARB$25,000
Holcim (US) Inc.Holcim Groupbuilding materialsenvironmental violation2002CO-DPHE$6,000
AGGREGATE INDUSTRIES NORTHEAST REGIONHolcim Groupbuilding materialsenvironmental violation2002MA-ENV$30,000
HOFFMAN LAROCHE INCRochepharmaceuticalsenvironmental violation2002NJ-ENV$5,000
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsenvironmental violation2002NJ-ENV$5,600
NESTLE USA INC BEVERAGE DIVISIONNestlefood productsenvironmental violation2002NJ-ENV$12,800
CLARIANT CORPORATIONClariantchemicalsenvironmental violation2002SC-ENV$5,000
HOLCIM TEXAS LIMITED PARTNERSHIPHolcim Groupbuilding materialsenvironmental violation2002TX-ENV$223,125
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002FINRA(*)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
LAFARGE NORTH AMERICA DBA LAFARGE WESTHolcim Groupbuilding materialsworkplace safety or health violation2002OSHA$7,000
NBTY MANUFACTURING LLCNestlefood productsworkplace safety or health violation2002OSHA$23,735
ROCHE MOLECULAR SYSTEMS INCRochepharmaceuticalsworkplace safety or health violation2002OSHA$9,225
NBTY MANUFACTURING LLCNestlefood productsworkplace safety or health violation2002OSHA$20,385
LONZA BIOLOGICS, INC.Lonzachemicalsworkplace safety or health violation2002OSHA$9,750
ARCH CHEMICALS INCArxadachemicalsworkplace safety or health violation2002OSHA$8,500
AGGREGATE INDUSTRIES-MID ATLANTICHolcim Groupbuilding materialsworkplace safety or health violation2002OSHA$7,000
A. FINKL & SONS CO.Swiss Steelmetalsworkplace safety or health violation2002OSHA$21,600
AGGREGATE INDUSTRIESHolcim Groupbuilding materialsworkplace safety or health violation2002OSHA$5,880
ADECCO EMPLOYMENT SVCS/TURNER INT'L PIPING SYSTEMSAdeccobusiness servicesworkplace safety or health violation2002OSHA$9,500
THOMAS & BETTSABB Ltd.utilities and power generationworkplace safety or health violation2002OSHA$6,000
NESTLE USA BEVERAGENestlefood productsworkplace safety or health violation2002OSHA$15,000
AGGREGATE INDUSTRIESHolcim Groupbuilding materialsworkplace safety or health violation2002OSHA$34,000
NBTY, IncNestlefood productsenvironmental violation2002EPA$280,000
VITOL SA, INCVitolfinancial servicesenvironmental violation2002EPA$95,000
Aggregate Industries WCR, Inc.Holcim Groupbuilding materialsworkplace safety or health violation2002MSHA$24,000
Holcim (Texas) LPHolcim Groupbuilding materialsworkplace safety or health violation2002MSHA$9,000
Holcim (Texas) LPHolcim Groupbuilding materialsworkplace safety or health violation2002MSHA$15,000
UBS (USA) IncUBSfinancial serviceseconomic 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.