U.S. Bank Pension Plan | U.S. Bancorp | benefit plan administrator violation | 2012 | private lawsuit-federal | $9,600,000 |
MUFG Securities Americas Inc. | U.S. Bancorp | investor protection violation | 2018 | SEC | $1,400,000 |
MUFG Union Bank, National Association | U.S. Bancorp | banking violation | 2019 | OCC | $109,667 |
U.S. Bancorp | U.S. Bancorp | consumer protection violation | 2005 | CA-AG | $2,600,000 |
US Bank | U.S. Bancorp | privacy violation | 2000 | MULTI-AG | $2,000,000 |
US Bank NA | U.S. Bancorp | consumer protection violation | 2003 | NY-AG | $33,500 |
US Bank | U.S. Bancorp | housing code violation | 2016 | CA-LACA | $13,500,000 |
U.S. Bancorp Investments, Inc. | U.S. Bancorp | investor protection violation | 2020 | SEC | $15,992,441 |
MUFG Bank Ltd. | U.S. Bancorp | banking violation | 2019 | NY-DFS | $33,000,000 |
U.S. Bank National Association | U.S. Bancorp | wage and hour violation | 2020 | private lawsuit-federal | $6,500,000 |
U.S. Bancorp | U.S. Bancorp | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $2,495,000 |
U.S. Bank National Association | U.S. Bancorp | mortgage abuses | 2020 | DOJ_UTP | $29,000,000 |
U.S. Bank | U.S. Bancorp | privacy violation | 2019 | private lawsuit-federal | $2,670,336 |
US Bancorp Investments, Inc. | U.S. Bancorp | investor protection violation | 2010 | FINRA | $275,000 |
U.S. Bank | U.S. Bancorp | consumer protection violation | 2021 | MA-AG | $230,000 |
U.S. Bank | U.S. Bancorp | banking violation | 2022 | CFPB | $37,500,000 |
MUFG Bank Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $985,000 |
MUFG Bank, Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
U.S. Bank NA | U.S. Bancorp | consumer protection violation | 2016 | private lawsuit-federal | $14,050,000 |
U.S. Bank NA | U.S. Bancorp | consumer protection violation | 2015 | private lawsuit-federal | $44,500,000 |
U.S. Bank NA | U.S. Bancorp | consumer protection violation | 2015 | private lawsuit-federal | $34,500,000 |
U.S. Bank National Association | U.S. Bancorp | consumer protection violation | 2015 | private lawsuit-federal | $6,000,000 |
Union Bank N.A. | U.S. Bancorp | consumer protection violation | 2012 | private lawsuit-federal | $35,000,000 |
US Bank N.A. | U.S. Bancorp | consumer protection violation | 2014 | private lawsuit-federal | $55,000,000 |
MUFG Union Bank, National Association | U.S. Bancorp | banking violation | 2023 | OCC | $15,000,000 |
MUFG Bank, Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $750,000 |
MUFG Bank, Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $30,000,000 |
U.S. Bank | U.S. Bancorp | consumer protection violation | 2023 | CFPB | $20,700,000 |
U.S. Bank National Association | U.S. Bancorp | banking violation | 2023 | OCC | $15,000,000 |
U.S. Bancorp Investments Inc. | U.S. Bancorp | investor protection violation | 2024 | SEC | $8,000,000 |
MUFG BANK, LTD. | U.S. Bancorp | banking violation | 2024 | CT-BKG | $10,000 |
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICE | U.S. Bancorp | workplace safety or health violation | 2015 | OSHA | $8,775 |
U.S. Pension Trust Corp. and U.S. College Trust Corp. | U.S. Pension Trust Corp. | investor protection violation | 2010 | SEC | $112,600,000 |
UBS Securities Japan Co. Ltd. | UBS | price-fixing or anti-competitive practices | 2012 | DOJ_ANTITRUST | $500,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $160,000,000 |
UBS AG | UBS | banking violation | 2015 | FED | $342,000,000 |
Credit Suisse AG | UBS | banking violation | 2014 | FED | $100,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $203,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2016 | SEC | $54,300,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | investor protection violation | 2015 | SEC | $17,500,000 |
UBS AG | UBS | investor protection violation | 2015 | SEC | $19,500,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2015 | SEC | $15,000,000 |
Credit Suisse Securities (USA) LLC | UBS | data submission deficiencies | 2015 | SEC | $4,250,000 |
UBS Securities LLC | UBS | investor protection violation | 2015 | SEC | $14,400,000 |
Credit Suisse Group AG | UBS | investor protection violation | 2014 | SEC | $196,000,000 |
UBS Securities | UBS | toxic securities abuses | 2013 | SEC | $50,000,000 |
Credit Suisse Securities (USA) | UBS | toxic securities abuses | 2012 | SEC | $120,000,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2012 | SEC | $26,600,000 |
UBS Global Asset Management | UBS | investor protection violation | 2012 | SEC | $300,000 |
UBS Securities LLC | UBS | investor protection violation | 2011 | SEC | $8,000,000 |
Credit Suisse | UBS | toxic securities abuses | 2014 | FHFA | $885,000,000 |
UBS Americas Inc. | UBS | toxic securities abuses | 2013 | FHFA | $885,000,000 |
UBS | UBS | toxic securities abuses | 2016 | NCUA | $69,800,000 |
Credit Suisse | UBS | toxic securities abuses | 2016 | NCUA | $50,300,000 |
Credit Suisse | UBS | investor protection violation | 2016 | CFTC | $665,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2014 | CFTC | $290,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2012 | CFTC | $700,000,000 |
UBS Securities | UBS | data submission deficiencies | 2010 | CFTC | $200,000 |
Credit Suisse AG | UBS | tax violations | 2014 | DOJ_TAX | $1,800,000,000 |
UBS AG | UBS | economic sanction violation | 2015 | OFAC | $1,700,100 |
UBS Financial Services | UBS | investor protection violation | 2014 | SEC | $56,400 |
UBS AG | UBS | investor protection violation | 2010 | CFTC | $130,000 |
UBS Fund Advisor, LLC | UBS | data submission deficiencies | 2009 | CFTC | $50,000 |
UBS AG | UBS | economic sanction violation | 2004 | FED | $100,000,000 |
Credit Suisse AG | UBS | economic sanction violation | 2009 | DOJ_CRIMINAL | $268,000,000 |
UBS AG | UBS | tax violations | 2009 | DOJ_TAX | $780,000,000 |
UBS (USA) Inc | UBS | economic sanction violation | 2003 | OFAC | $14,750 |
UBS (USA) Inc | UBS | economic sanction violation | 2003 | OFAC | $5,000 |
UBS AG | UBS | tax violations | 2009 | SEC | $200,000,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2004 | SEC | $4,621,768 |
UBS PaineWebber, Inc. | UBS | investor protection violation | 2003 | SEC | $500,000 |
Credit Suisse First Boston LLC | UBS | investor protection violation | 2003 | SEC | $200,000,000 |
UBS Warburg LLC | UBS | investor protection violation | 2003 | SEC | $80,000,000 |
Credit Suisse First Boston Corporation | UBS | investor protection violation | 2002 | SEC | $100,000,000 |
PaineWebber Incorporated | UBS | investor protection violation | 2000 | SEC | $26,200,000 |
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 |
Credit Suisse AG | UBS | accounting fraud or deficiencies | 2016 | SEC | $90,000,000 |
Credit Suisse | UBS | toxic securities abuses | 2017 | DOJ_CIVIL | $5,280,000,000 |
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 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2017 | SEC | $5,754,714 |
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 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | UBS | investor protection violation | 2011 | SEC | $2,500,000 |
Credit Suisse (Hong Kong) Limited | UBS | Foreign Corrupt Practices Act | 2018 | DOJ_CRIMINAL | $47,029,916 |
UBS Financial Services Inc. | UBS | wage and hour violation | 2018 | WHD | $6,246 |
Credit Suisse Group AG | UBS | Foreign Corrupt Practices Act | 2018 | SEC | $29,700,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2018 | SEC | $5,000,000 |
UBS Securities LLC | UBS | investor protection violation | 2005 | SEC | $700,000 |
Credit Suisse First Boston, LLC | UBS | investor protection violation | 2005 | SEC | $200,000 |
Donaldson, Lufkin & Jenrette Securities Corp. | UBS | investor protection violation | 2004 | SEC | $1,000,000 |