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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals 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
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
UBS AGUBSprice-fixing or anti-competitive practices2012CFTC$700,000,000
UBS AGUBSeconomic sanction violation2015OFAC$1,700,100
UBS AGUBSinvestor protection violation2010CFTC$130,000
UBS AGUBSeconomic sanction violation2004FED$100,000,000
UBS AGUBStax violations2009DOJ_TAX$780,000,000
UBS AGUBStax violations2009SEC$200,000,000
UBS AGUBSinvestor protection violation2018CFTC$15,000,000
UBS AGUBSprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
UBS AGUBSprice-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 AGUBSprice-fixing or anti-competitive practices2016WV-AG$325,000
UBS AGUBSenvironmental violation2011CT-ENV$80,000
UBS AGUBSinvestor protection violation2021CFTC$500,000
UBS AGUBSinvestor protection violation2022CFTC$75,000,000
UBS AGUBSprice-fixing or anti-competitive practices2020private lawsuit-federal$17,900,000
UBS AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$141,075,000
UBS AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$14,000,000
UBS AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
UBS AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
UBS AGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$32,000,000
UBS AGUBStoxic securities abuses2023DOJ_CIVIL$1,435,000,000
UBS Americas Inc.UBStoxic securities abuses2013FHFA$885,000,000
UBS as successor to Piper JaffrayUBSwage and hour violation2008private lawsuit-federal$5,500,000
UBS Financial ServicesUBSinvestor protection violation2014SEC$56,400
UBS Financial ServicesUBSinvestor protection violation2016SEC$15,025,882
UBS Financial ServicesUBSinvestor protection violation2011IN-SEC$677,000
UBS Financial ServicesUBSinvestor protection violation2012FINRA$2,354,584
UBS Financial Services Inc.UBSinvestor protection violation2004SEC$4,621,768
UBS Financial Services Inc.UBSinvestor protection violation2015SEC$480,000
UBS Financial Services Inc.UBSwage and hour violation2018WHD$6,246
UBS Financial Services Inc.UBSinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSanti-money-laundering deficiencies2018FINCEN$5,000,000
UBS Financial Services Inc.UBSinvestor protection violation2006NJ-AG$24,750,000
UBS Financial Services Inc.UBSinvestor protection violation2007CT-SEC$5,500,000
UBS Financial Services Inc.UBSinvestor protection violation2011NH-BSR$1,000,000
UBS Financial Services Inc.UBSinvestor protection violation2012NH-BSR$72,500
UBS Financial Services Inc.UBSinvestor protection violation2019VA-SEC$288,970
UBS Financial Services Inc.UBSinvestor protection violation2014VT-FIN$325,000
UBS Financial Services Inc.UBSinvestor protection violation2013MULTI-FIN$4,600,000
UBS Financial Services Inc.UBSinvestor protection violation2020SEC$10,000,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
UBS Financial Services Inc.UBSinvestor protection violation2004FINRA$200,666
UBS Financial Services Inc.UBSinvestor protection violation2021SEC$8,112,174
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$25,000,000
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$925,000
UBS Financial Services Inc. and UBS Securities LLCUBSanti-money-laundering deficiencies2018FINRA$5,000,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2015SEC$15,000,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2012SEC$26,600,000
UBS Financial Services Incorporated of Puerto RicoUBSinvestor protection violation2015FINRA$18,500,000
UBS Financial Services, IncUBSinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services, Inc.UBSwage and hour violation2007WHD$27,152
UBS Financial Services, Inc.UBSinvestor protection violation2017SEC$3,500,000
UBS Financial Services, Inc.UBSinvestor protection violation2013DE-AG$70,077
UBS Financial Services, Inc.UBSinvestor protection violation2007NY-AG$23,300,000
UBS Financial Services, Inc.UBSinvestor protection violation2013AK-DBS$64,661
UBS Financial Services, Inc.UBSinvestor protection violation2007MO-SEC$697,210
UBS Financial Services, Inc.UBSinvestor protection violation2009MO-SEC$170,175
UBS Financial Services, Inc.UBSinvestor protection violation2006MT-FIN$4,503,166
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2007VA-SEC$100,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2010VA-SEC$625,000
UBS Financial Services, Inc.UBSinvestor protection violation2011FINRA$10,750,000
UBS Financial Services, Inc.UBSinvestor protection violation2009FINRA$100,000
UBS Financial Services, Inc.UBSinvestor protection violation2008FINRA$1,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2007FINRA$370,000
UBS Financial Services, Inc. and UBS Securities LLCUBStoxic securities abuses2008MA-AG$35,000,000
UBS Fund Advisor, LLCUBSdata submission deficiencies2009CFTC$50,000
UBS Global Asset ManagementUBSinvestor protection violation2012SEC$300,000
UBS Global Asset ManagementUBSbenefit plan administrator violation2006private lawsuit-federal$5,493,000
UBS Group AGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
UBS Group AGUBSbanking violation2023FED$268,500,000
UBS Inc.UBSlabor relations violation2010NLRB$26,351
UBS International Inc.UBSinvestor protection violation2005FINRA$10,000
UBS O'Connor, LLCUBSinvestor protection violation2013SEC$5,297,716
UBS PaineWebber, Inc.UBSinvestor protection violation2003SEC$500,000
UBS SecuritiesUBStoxic securities abuses2013SEC$50,000,000
UBS SecuritiesUBSdata submission deficiencies2010CFTC$200,000
UBS SecuritiesUBSinvestor protection violation2009FINRA$268,000
UBS Securities Japan Co. Ltd.UBSprice-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
UBS Securities LLCUBSinvestor protection violation2015SEC$14,400,000
UBS Securities LLCUBSinvestor protection violation2011SEC$8,000,000
UBS Securities LLCUBSinvestor protection violation2005SEC$700,000
UBS Securities LLCUBStoxic securities abuses2018NY-AG$230,000,000
UBS Securities LLCUBStoxic securities abuses2016VA-AG$850,000
UBS Securities LLCUBSinvestor protection violation2010AK-DBS$733,465
UBS Securities LLCUBSinvestor protection violation2010TX-SEC$6,640,432
UBS Securities LLCUBSinvestor protection violation2011FINRA$12,000,000
UBS Securities LLCUBSinvestor protection violation2022FINRA$2,500,000
UBS Securities LLCUBSprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
UBS Securities LLCUBSconsumer protection violation2015private lawsuit-federal$78,333,333
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor 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.UBSinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services, IncUBSinvestor protection violation2011NJ-AG$3,790,487
UBS Securities LLC and UBS Financial Services, Inc.UBSinvestor protection violation2008MULTI-AG$11,150,000,000
UBS Securities, L.L.C.UBSinvestor protection violation2004FINRA$10,000
UBS Securities, LLCUBSinvestor protection violation2008FINRA$200,000
UBS Warburg and UBS PaineWebberUBSinvestor 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 Warburg LLCUBSinvestor protection violation2003SEC$80,000,000
UBS Warburg LLCUBSinvestor 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 Willow Management LLC and UBS Fund Advisor LLCUBSinvestor protection violation2015SEC$17,500,000
UBS, Inc.UBSwage and hour violation2013WHD$90,902
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.investor protection violation2015SEC$420,000
UMB Bank, NAUMB Financial Corp.banking violation2017OCC$1,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.