Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.
| Company | Current Parent | Current Parent Industry  | Primary Offense Type | Year | Agency | Penalty Amount |
|---|---|---|---|---|---|---|
| Credit Suisse AG | UBS | financial services | banking violation | 2014 | FED | $100,000,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2016 | SEC | $54,300,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | data submission deficiencies | 2015 | SEC | $4,250,000 |
| Credit Suisse Group AG | UBS | financial services | investor protection violation | 2014 | SEC | $196,000,000 |
| Credit Suisse Securities (USA) | UBS | financial services | toxic securities abuses | 2012 | SEC | $120,000,000 |
| Credit Suisse | UBS | financial services | toxic securities abuses | 2014 | FHFA | $885,000,000 |
| Credit Suisse | UBS | financial services | toxic securities abuses | 2016 | NCUA | $50,300,000 |
| Credit Suisse | UBS | financial services | investor protection violation | 2016 | CFTC | $665,000 |
| Credit Suisse AG | UBS | financial services | tax violations | 2014 | DOJ_TAX | $1,800,000,000 |
| Credit Suisse AG | UBS | financial services | economic sanction violation | 2009 | DOJ_CRIMINAL | $268,000,000 |
| Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2003 | SEC | $200,000,000 |
| Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2002 | SEC | $100,000,000 |
| Credit Suisse AG | UBS | financial services | accounting fraud or deficiencies | 2016 | SEC | $90,000,000 |
| Credit Suisse | UBS | financial services | toxic securities abuses | 2017 | DOJ_CIVIL | $5,280,000,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2017 | SEC | $5,754,714 |
| Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | UBS | financial services | investor protection violation | 2011 | SEC | $2,500,000 |
| Credit Suisse (Hong Kong) Limited | UBS | financial services | Foreign Corrupt Practices Act | 2018 | DOJ_CRIMINAL | $47,029,916 |
| Credit Suisse Group AG | UBS | financial services | Foreign Corrupt Practices Act | 2018 | SEC | $29,700,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2018 | SEC | $5,000,000 |
| Credit Suisse First Boston, LLC | UBS | financial services | investor protection violation | 2005 | SEC | $200,000 |
| Credit Suisse First Boston Corp. | UBS | financial services | investor protection violation | 2002 | 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. $200,000,000 |
| Credit Suisse Securities | UBS | financial services | investor protection violation | 2016 | NY-AG | $30,000,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | NJ-AG | $1,057,996 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2018 | 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. $10,000,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | toxic securities abuses | 2016 | VA-AG | $1,200,000 |
| Credit Suisse AG | UBS | financial services | economic sanction violation | 2009 | NY-MANDA | $268,000,000 |
| Credit Suisse AG | UBS | financial services | tax violations | 2014 | NY-DFS | $715,000,000 |
| Credit Suisse AG | UBS | financial services | price-fixing or anti-competitive practices | 2017 | NY-DFS | $135,000,000 |
| Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2020 | SEC | $600,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2019 | FINRA | $6,500,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | anti-money-laundering deficiencies | 2016 | FINRA | $16,500,000 |
| Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2014 | FINRA | $5,000,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | FINRA | $1,750,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | FINRA | $4,500,000 |
| Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2009 | FINRA | $275,000 |
| Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2006 | FINRA | $225,000 |
| Credit Suisse First Boston, L.L.C. | UBS | financial services | investor protection violation | 2004 | FINRA | $50,000 |
| Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2004 | FINRA | $770,000 |
| Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2002 | FINRA | (*)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 |
| Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2001 | FINRA | $25,000 |
| Credit Suisse | UBS | financial services | investor protection violation | 2021 | CFTC | $1,500,000 |
| Credit Suisse Group AG | UBS | financial services | fraud | 2021 | DOJ_CRIMINAL | $175,500,000 |
| Credit Suisse Group AG | UBS | financial services | Foreign Corrupt Practices Act | 2021 | SEC | $99,000,000 |
| Credit Suisse Securities | UBS | financial services | investor protection violation | 2022 | FINRA | $9,000,000 |
| Credit Suisse Energy LLC | UBS | financial services | utility service violation | 2017 | TX-PUC | $7,500 |
| Credit Suisse | UBS | financial services | investor protection violation | 2022 | CFTC | $75,000,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2022 | SEC | $125,000,000 |
| Credit Suisse Securities (USA) LLC et al. | UBS | financial services | investor protection violation | 2022 | NJ-AG | $495,000,000 |
| Credit Suisse AG | UBS | financial services | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
| Credit Suisse AG | UBS | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $10,989,000 |
| Credit Suisse AG | UBS | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,875,000 |
| Credit Suisse GroupAG | UBS | financial services | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
| Credit Suisse | UBS | financial services | consumer protection violation | 2016 | private lawsuit-federal | $110,000,000 |
| Credit Suisse Group AG | UBS | financial services | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $550,000 |
| Credit Suisse AG | UBS | financial services | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $13,750,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2023 | SEC | $10,000,000 |
