Violation Tracker Industry Summary Page
Industry:
financial services
Penalty Total since 2000:
$344,899,848,624
Number of Records:
6,989
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 Parent Companies | Total Penalty $ | Number of Records |
|---|---|---|
| Bank of America | $82,898,016,192 | 264 |
| JPMorgan Chase | $36,107,446,133 | 199 |
| Citigroup | $25,540,645,217 | 156 |
| Wells Fargo | $21,881,892,841 | 222 |
| Deutsche Bank | $18,341,457,302 | 76 |
| UBS | $16,854,318,334 | 101 |
| Goldman Sachs | $16,399,485,793 | 87 |
| NatWest Group PLC | $13,515,546,857 | 31 |
| BNP Paribas | $12,148,363,950 | 19 |
| Credit Suisse | $10,732,400,126 | 49 |
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.
| Company |
Parent |
Primary Offense Type | Year | Agency | Penalty Amount |
|---|---|---|---|---|---|
| Warburg Dillon Read LLC | UBS | investor protection violation | 2000 | SEC | $6,680,000 |
| UBS Financial Services | UBS | investor protection violation | 2016 | SEC | $15,025,882 |
| UBS, Inc. | UBS | wage and hour violation | 2013 | WHD | $90,902 |
| UBS Financial Services, Inc. | UBS | wage and hour violation | 2007 | WHD | $27,152 |
| UBS Inc. | UBS | labor relations violation | 2010 | NLRB | $26,351 |
| UBS | UBS | toxic securities abuses | 2017 | NCUA | $445,000,000 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2017 | SEC | $3,500,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2015 | SEC | $480,000 |
| UBS AG | UBS | investor protection violation | 2018 | CFTC | $15,000,000 |
| UBS | UBS | wage and hour violation | 2015 | private lawsuit-federal | $1,312,500 |
| UBS | UBS | wage and hour violation | 2012 | private lawsuit-federal | $1,400,000 |
| UBS as successor to Piper Jaffray | UBS | wage and hour violation | 2008 | private lawsuit-federal | $5,500,000 |
| UBS | UBS | wage and hour violation | 2007 | private lawsuit-federal | $44,000,000 |
| UBS | UBS | wage and hour violation | 2007 | private lawsuit-federal | $45,000,000 |
| UBS O'Connor, LLC | UBS | investor protection violation | 2013 | SEC | $5,297,716 |
| UBS Financial Services Inc. | UBS | wage and hour violation | 2018 | WHD | $6,246 |
| UBS Securities LLC | UBS | investor protection violation | 2005 | SEC | $700,000 |
| UBS Global Asset Management | UBS | benefit plan administrator violation | 2006 | private lawsuit-federal | $5,493,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2018 | SEC | $5,000,000 |
| UBS Financial Services Inc. | UBS | anti-money-laundering deficiencies | 2018 | FINCEN | $5,000,000 |
| UBS | UBS | investor protection violation | 2010 | MI-AG | $117,000,000 |
| UBS AG | UBS | interest rate benchmark manipulation | 2018 | MULTI-AG | $68,000,000 |
| UBS AG | UBS | price-fixing or anti-competitive practices | 2011 | MULTI-AG | (*) $90,800,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2006 | NJ-AG | $24,750,000 |
| UBS Financial Services, Inc | UBS | investor protection violation | 2013 | MULTI-AG | $4,580,000 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2013 | DE-AG | $70,077 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | NY-AG | $23,300,000 |
| UBS Financial Services, Inc. and UBS Securities LLC | UBS | toxic securities abuses | 2008 | MA-AG | $35,000,000 |
| UBS Securities LLC | UBS | toxic securities abuses | 2018 | NY-AG | $230,000,000 |
| UBS Securities LLC | UBS | toxic securities abuses | 2016 | VA-AG | $850,000 |
| UBS Securities LLC and UBS Financial Services, Inc | UBS | investor protection violation | 2011 | NJ-AG | $3,790,487 |
| UBS Securities LLC and UBS Financial Services, Inc. | UBS | investor protection violation | 2008 | MULTI-AG | $11,150,000,000 |
| UBS Warburg LLC | UBS | investor protection violation | 2002 | MULTI-AG | (*) $80,000,000 |
| UBS AG | UBS | price-fixing or anti-competitive practices | 2016 | WV-AG | $325,000 |
| UBS Securities LLC | UBS | investor protection violation | 2010 | AK-DBS | $733,465 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2013 | AK-DBS | $64,661 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2007 | CT-SEC | $5,500,000 |
| UBS Financial Services | UBS | investor protection violation | 2011 | IN-SEC | $677,000 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | MO-SEC | $697,210 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2009 | MO-SEC | $170,175 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2006 | MT-SEC | $4,503,166 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2011 | NH-BSR | $1,000,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2012 | NH-BSR | $72,500 |
| UBS Securities LLC | UBS | investor protection violation | 2010 | TX-SEC | $6,640,432 |
| UBS FINANCIAL SERVICES, INC. | UBS | investor protection violation | 2007 | VA-SEC | $100,000 |
| UBS FINANCIAL SERVICES, INC. | UBS | investor protection violation | 2010 | VA-SEC | $625,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2019 | VA-SEC | $288,970 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2014 | VT-FIN | $325,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2013 | MULTI-FIN | $4,600,000 |
| UBS Securities LLC and UBS Financial Services Inc. | UBS | investor protection violation | 2008 | MULTI-FIN | (*) $150,000,000 |
| UBS Warburg and UBS PaineWebber | UBS | investor protection violation | 2003 | MULTI-FIN | (*) $25,000,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2020 | SEC | $10,000,000 |
| UBS AG | UBS | environmental violation | 2011 | CT-ENV | $80,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2019 | FINRA | $2,000,000 |
| UBS Financial Services Inc. and UBS Securities LLC | UBS | anti-money-laundering deficiencies | 2018 | FINRA | $5,000,000 |
| UBS Financial Services Incorporated of Puerto Rico | UBS | investor protection violation | 2015 | FINRA | $18,500,000 |
| UBS Financial Services | UBS | investor protection violation | 2012 | FINRA | $2,354,584 |
| UBS Securities LLC | UBS | investor protection violation | 2011 | FINRA | $12,000,000 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2011 | FINRA | $10,750,000 |
| UBS Securities | UBS | investor protection violation | 2009 | FINRA | $268,000 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2009 | FINRA | $100,000 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2008 | FINRA | $1,000,000 |
| UBS Securities, LLC | UBS | investor protection violation | 2008 | FINRA | $200,000 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | FINRA | $370,000 |
| UBS International Inc. | UBS | investor protection violation | 2005 | FINRA | $10,000 |
| Schwab Capital Markets, L.P. | UBS | investor protection violation | 2004 | FINRA | $70,000 |
| UBS Securities, L.L.C. | UBS | investor protection violation | 2004 | FINRA | $10,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2004 | FINRA | $200,666 |
| Schwab Capital Markets | UBS | investor protection violation | 2001 | FINRA | $12,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2021 | SEC | $8,112,174 |
| UBS AG | UBS | investor protection violation | 2021 | CFTC | $500,000 |
| UMB Bank, NA | UMB Financial Corp. | banking violation | 2017 | OCC | $1,500,000 |
| UMB Bank N.A. Investment Banking Division | UMB Financial Corp. | investor protection violation | 2015 | SEC | $420,000 |
| UMPQUA BANK | Umpqua Holdings | banking violation | 2008 | FDIC | $90,240 |
| Umpqua Bank | Umpqua Holdings | wage and hour violation | 2015 | WA-DLI | $15,350 |
| Sterling Financial Corporation | Umpqua Holdings | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,025,000 |
| Umpqua Bank | Umpqua Holdings | employment screening violation | 2019 | private lawsuit-federal | $325,000 |
| Umpqua Bank | Umpqua Holdings | banking violation | 2021 | FDIC | $1,800,000 |
| UniCredit Group | UniCredit | economic sanction violation | 2019 | DOJ_CRIMINAL | $413,536,632 |
| UniCredit, S.p.A. | UniCredit | banking violation | 2019 | FED | $158,000,000 |
| UniCredit Bank AG | UniCredit | economic sanction violation | 2019 | OFAC | (*) $553,380,759 |
| UniCredit Bank Austria AG | UniCredit | economic sanction violation | 2019 | OFAC | (*) $20,326,340 |
| UniCredit S.p.A. | UniCredit | economic sanction violation | 2019 | OFAC | (*) $37,316,322 |
| UniCredit Bank AG | UniCredit | economic sanction violation | 2019 | NY-MANDA | $316,000,000 |
| UniCredit Bank Austria AG | UniCredit | economic sanction violation | 2019 | NY-MANDA | $20,000,000 |
| UniCredit Group | UniCredit | economic sanction violation | 2019 | NY-DFS | $405,000,000 |
| Union Bancaire Privee | Union Bancaire Privee | tax violations | 2016 | DOJ_TAX | $187,000,000 |
| Union Bancaire Privee, UBP SA | Union Bancaire Privee | tax violations | 2020 | DOJ_TAX | $14,000,000 |
| Union Savings Bank and Guardian Savings Bank | Union Savings Bank | discriminatory practices (non-employment) | 2016 | DOJ_RIGHTS | $9,000,000 |
| United Community Banks, Inc. | United Community Banks Inc. | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,500,000 |
| Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2004 | FL-OFR | $47,500 |
| Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2009 | FL-OFR | $99,000 |
| Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2013 | FL-OFR | $1,260,000 |
| Univest Corporation of Pennsylvania | Univest Financial | Family and Medical Leave Act | 2016 | WHD | $5,076 |
| UNUM | Unum | wage and hour violation | 2011 | WA-DLI | $15,070 |
| UNUM Life Insurance Company of America | Unum | benefit plan administrator violation | 2010 | private lawsuit-federal | $5,000,000 |
| Unum Life Insurance Co. | Unum | False Claims Act and related | 2005 | MA-AG | $650,000 |
| UnumProvident Corporation | Unum | consumer protection violation | 2006 | NY-AG | $17,400,000 |
| UnumProvident Corporation | Unum | consumer protection violation | 2004 | MULTI-AG | $15,000,000 |
| Unum Group | Unum | kickbacks and bribery | 2008 | USAO | $5,550,000 |
| Unum Insurance Co. | Unum | kickbacks and bribery | 2008 | CA-MULTI | $250,000 |
