UBS O'Connor, LLC | UBS | financial services | investor protection violation | 2013 | SEC | $5,297,716 |
Ghiradelli Chocolate Co. | Lindt & Sprungli | food products | consumer protection violation | 2015 | private lawsuit-federal | $5,250,000 |
LaFarge North America Inc. | Holcim Group | building materials | price-fixing or anti-competitive practices | 2017 | private lawsuit-federal | $5,200,000 |
Zurich Life Insurance Company Ltd | Zurich Insurance | financial services | tax violations | 2019 | DOJ_TAX | $5,115,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2018 | SEC | $5,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2018 | SEC | $5,000,000 |
UBS Financial Services Inc. | UBS | financial services | anti-money-laundering deficiencies | 2018 | FINCEN | $5,000,000 |
CIBA Vision | Novartis | pharmaceuticals | price-fixing or anti-competitive practices | 2000 | MULTI-AG | $5,000,000 |
UBS Financial Services Inc. and UBS Securities LLC | UBS | financial services | anti-money-laundering deficiencies | 2018 | FINRA | $5,000,000 |
Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2014 | FINRA | $5,000,000 |
TE Connectivity Networks, Inc. | TE Connectivity | electrical and electronic equipment | wage and hour violation | 2019 | private lawsuit-federal | $4,960,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2004 | SEC | $4,621,768 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2013 | MULTI-FIN | $4,600,000 |
UBS Financial Services, Inc | UBS | financial services | investor protection violation | 2013 | MULTI-AG | $4,580,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2013 | NY-DFS | $4,560,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2006 | MT-FIN | $4,503,166 |
ACE Group Holdings, Inc. | Chubb Limited | financial services | price-fixing or anti-competitive practices | 2007 | MULTI-AG | $4,500,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | FINRA | $4,500,000 |
Tyco Electronics Printed Circuit Group | TE Connectivity | electrical and electronic equipment | environmental violation | 2004 | CT-AG | $4,400,000 |
Farmers Insurance Group | Zurich Insurance | financial services | discriminatory practices (non-employment) | 2001 | OH-AG | $4,300,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | data submission deficiencies | 2015 | SEC | $4,250,000 |
UBS Securities LLC and UBS Financial Services, Inc | UBS | financial services | investor protection violation | 2011 | NJ-AG | $3,790,487 |
Eon Labs Inc. | Novartis | pharmaceuticals | False Claims Act and related | 2010 | DOJ_CIVIL | $3,500,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2017 | SEC | $3,500,000 |
Metropolitan Property & Casualty Insurance Co. | Zurich Insurance | financial services | consumer protection violation | 2010 | MA-AG | $3,500,000 |
Novartis Pharmaceuticals Corporation | Novartis | pharmaceuticals | False Claims Act and related | 2010 | HI-AG | $3,333,333 |
ADC Telecommunications Inc. | TE Connectivity | electrical and electronic equipment | benefit plan administrator violation | 2006 | private lawsuit-federal | $3,250,000 |
Sandoz Inc. | Sandoz Group | pharmaceuticals | price-fixing or anti-competitive practices | 2017 | private lawsuit-federal | $3,202,500 |
Metropolitan Property & Casualty Co. | Zurich Insurance | financial services | consumer protection violation | 2019 | MS-AG | $3,167,173 |
Russell Stover | Lindt & Sprungli | food products | wage and hour violation | 2014 | private lawsuit-federal | $3,075,000 |
Gerber Products | Nestle | food products | wage and hour violation | 2016 | private lawsuit-state | $3,001,669 |
Accutest Corp. aka Accutest Laboratories | SGS S.A. | miscellaneous services | fraud | 2015 | USAO | $3,000,000 |
Adecco USA | Adecco | business services | wage and hour violation | 2006 | private lawsuit-state | $3,000,000 |
Nestle USA | Nestle | food products | wage and hour violation | 2008 | WHD | $2,750,840 |
Aggregate Industries-Northeast Region Inc. | Holcim Group | building materials | environmental violation | 2009 | EPA | $2,750,000 |
Novartis Pharmaceuticals Corp. | Novartis | pharmaceuticals | False Claims Act and related | 2012 | KY-AG | $2,750,000 |
Aggregate Industries Inc | Holcim Group | building materials | environmental violation | 2009 | EPA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,750,000 |
Vitol Inc. | Vitol | financial services | energy market violation | 2019 | FERC | $2,742,881 |
Genentech | Roche | pharmaceuticals | wage and hour violation | 2011 | private lawsuit-state | $2,600,000 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | UBS | financial services | investor protection violation | 2011 | SEC | $2,500,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2022 | FINRA | $2,500,000 |
Farmers Insurance Group | Zurich Insurance | financial services | consumer protection violation | 2003 | TX-AG | $2,400,000 |
Universal Underwriters Life Insurance Co. | Zurich Insurance | financial services | consumer protection violation | 2008 | TX-AG | $2,400,000 |
UBS Financial Services | UBS | financial services | investor protection violation | 2012 | FINRA | $2,354,584 |
LAFARGE MID-ATLANTIC, LLC | Holcim Group | building materials | environmental violation | 2012 | EPA | $2,307,112 |
Lonza AG | Lonza | chemicals | price-fixing or anti-competitive practices | 2009 | MULTI-AG | $2,275,454 |
Vitol Inc. | Vitol | financial services | energy market violation | 2024 | FERC | $2,225,000 |
Genentech Inc. | Roche | pharmaceuticals | False Claims Act and related | 2016 | 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. $2,200,000 |
Zurich American Insurance Company | Zurich Insurance | financial services | insurance violation | 2022 | NY-DFS | $2,200,000 |
Malarkey Roofing Company | Holcim Group | building materials | environmental violation | 2021 | OR-ENV | $2,105,405 |
NBTY, Inc. | Nestle | food products | consumer protection violation | 2010 | FTC | $2,100,000 |
Genentech | Roche | pharmaceuticals | wage and hour violation | 2012 | private lawsuit-state | $2,100,000 |
NBTY, Inc. | Nestle | food products | consumer protection violation | 2005 | FTC | $2,000,000 |
Baldor Electric Co. | ABB Ltd. | utilities and power generation | employment discrimination | 2012 | OFCCP | $2,000,000 |
Accutest Laboratories | SGS S.A. | miscellaneous services | Americans with Disabilities Act | 2015 | NJ-AG | $2,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2019 | FINRA | $2,000,000 |
ACE Group | Chubb Limited | financial services | price-fixing or anti-competitive practices | 2011 | OH-AG | $1,970,000 |
Metropolitan Property and Casualty Insurance Co. | Zurich Insurance | financial services | consumer protection violation | 2000 | MA-AG | $1,840,000 |
Nestle USA, Inc. | Nestle | food products | wage and hour violation | 2008 | WHD | $1,752,293 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | FINRA | $1,750,000 |
Sandoz Inc. | Sandoz Group | pharmaceuticals | price-fixing or anti-competitive practices | 2017 | private lawsuit-federal | $1,750,000 |
UBS AG | UBS | financial services | economic sanction violation | 2015 | OFAC | $1,700,100 |
Lafarge North America, Inc. | Holcim Group | building materials | environmental violation | 2010 | 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. $1,690,000 |
Sandoz Inc. | Sandoz Group | pharmaceuticals | False Claims Act and related | 2010 | ID-AG | $1,650,000 |
Farmer's Insurance | Zurich Insurance | financial services | wage and hour violation | 2011 | WHD | $1,520,705 |
Lafarge North America Inc. | Holcim Group | building materials | environmental violation | 2013 | EPA | $1,500,000 |
Lafarge North America | Holcim Group | building materials | environmental violation | 2013 | NY-AG | $1,500,000 |
Credit Suisse | UBS | financial services | investor protection violation | 2021 | CFTC | $1,500,000 |
LAFARGE NORTH AMERICA, INC. | Holcim Group | building materials | environmental violation | 2014 | EPA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,460,942 |
UBS | UBS | financial services | wage and hour violation | 2012 | private lawsuit-federal | $1,400,000 |
UBS | UBS | financial services | wage and hour violation | 2015 | private lawsuit-federal | $1,312,500 |
Chubb Ltd. | Chubb Limited | financial services | insurance violation | 2018 | NY-DFS | $1,300,000 |
Adecco USA, Inc. | Adecco | business services | wage and hour violation | 2018 | private lawsuit-state | $1,268,283 |
CS First Boston Corp. | UBS | financial services | investor protection violation | 2000 | FINRA | $1,240,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | toxic securities abuses | 2016 | VA-AG | $1,200,000 |
LaFarge | Holcim Group | building materials | environmental violation | 2012 | EPA | $1,084,166 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | NJ-AG | $1,057,996 |
LAFARGE NORTH AMERICA, INC | Holcim Group | building materials | environmental violation | 2010 | EPA | $1,026,192 |
ADC Telecommunications Inc. | TE Connectivity | electrical and electronic equipment | False Claims Act and related | 2012 | DOJ_CIVIL | $1,000,000 |
Donaldson, Lufkin & Jenrette Securities Corp. | UBS | financial services | investor protection violation | 2004 | SEC | $1,000,000 |
Alcon | Alcon Inc. | medical equipment and supplies | False Claims Act and related | 2013 | LA-AG | $1,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2011 | NH-BSR | $1,000,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2008 | FINRA | $1,000,000 |
Aggregate Industries - Northeast Region, Inc. | Holcim Group | building materials | environmental violation | 2021 | MA-AG | $990,000 |
NBTY, Inc. | Nestle | food products | Controlled Substances Act violation | 2004 | USAO | $950,000 |
Universal Underwriters Insurance Company | Zurich Insurance | financial services | insurance violation | 2006 | IN-INS | $948,240 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2022 | SEC | $925,000 |
Gerber Products Co. | Nestle | food products | employment discrimination | 2009 | OFCCP | $900,000 |
LAFARGE NORTH AMERICA, INC. (NATIONAL CASE) (ARGOS CEMENT LLC) | Holcim Group | building materials | environmental violation | 2010 | EPA | $891,192 |
UBS Securities LLC | UBS | financial services | toxic securities abuses | 2016 | VA-AG | $850,000 |
Holcim Inc. | Holcim Group | building materials | environmental violation | 2021 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $850,000 |
Holcim (US) Inc. | Holcim Group | building materials | environmental violation | 2021 | USAO | $850,000 |
UBS | UBS | financial services | banking violation | 2023 | TX-AG | $850,000 |
Adecco USA | Adecco | business services | wage and hour violation | 2006 | private lawsuit-state | $848,964 |
Nestle Purina Petcare Company, Inc. | Nestle | food products | environmental violation | 2021 | private lawsuit-federal | $800,000 |
Adecco USA | Adecco | business services | wage and hour violation | 2011 | private lawsuit-federal | $780,000 |
Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2004 | FINRA | $770,000 |
Farmer's Group, Inc. | Zurich Insurance | financial services | wage and hour violation | 2010 | WHD | $754,148 |
Novartis Pharmaceuticals Corp. | Novartis | pharmaceuticals | False Claims Act and related | 2013 | ID-AG | $750,000 |
Ghirardelli and Russell Stover | Lindt & Sprungli | food products | consumer protection violation | 2019 | CA-MULTI | $750,000 |
Foremost Insurance Group et al. | Zurich Insurance | financial services | insurance violation | 2015 | SD-INS | $750,000 |