Violation Tracker Parent Company Summary

Parent Company Name: 
UBS
Ownership Structure: 
publicly traded (ticker symbol UBS)
Headquartered in: 
Switzerland
Major Industry: 
financial services
Specific Industry: 
banking & securities
Penalty total since 2000: 
$5,077,529,903
Number of records: 
43
Top 10 Primary Offense TypesPenalty TotalNumber of Records
interest rate benchmark manipulation$1,693,000,0004
toxic securities abuses$1,449,800,0004
tax violations$980,000,0002
banking violation$342,000,0001
investor protection violation$177,362,28210
price-fixing or anti-competitive practices$160,000,0001
economic sanction violation$101,719,8504
wage and hour violation$97,239,6526
securities issuance or trading violation$60,631,7686
financial institution supervision failures$15,500,0002
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty dollar total above may be adjusted to account for the fact that the list of entries below 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. Duplicate penalty amounts are marked with an asterisk in the list below.

Associated Names: 

PAINEWEBBER; UBS; UBS AMERICAS; UBS AS SUCCESSOR TO PIPER JAFFRAY; UBS FINANCIAL SVC OF PUERTO RICO; UBS FUND ADVISOR; UBS GLOBAL ASSET MANAGEMENT; UBS PAINEWEBBER; UBS SECURITIES JAPAN; UBS USA; UBS WILLOW MGT AND UBS FUND ADVISOR; WARBURG DILLON READ

Links: 

For an overview of this company's accountability track record, read its Corporate Rap Sheet here.

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.


Individual Penalty Records:

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Company Primary Offense Type Year Agency Penalty Amountsort icon
UBS Americas Inc. toxic securities abuses 2013 FHFA $885,000,000
UBS AG tax violations 2009 DOJ_TAX $780,000,000
UBS AG interest rate benchmark manipulation 2012 CFTC $700,000,000
UBS Securities Japan Co. Ltd. interest rate benchmark manipulation 2012 DOJ_ANTITRUST $500,000,000
UBS toxic securities abuses 2017 NCUA $445,000,000
UBS AG banking violation 2015 FED $342,000,000
UBS AG interest rate benchmark manipulation 2014 CFTC $290,000,000
UBS AG interest rate benchmark manipulation 2015 DOJ_CRIMINAL $203,000,000
UBS AG tax violations 2009 SEC $200,000,000
UBS AG price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $160,000,000
UBS AG economic sanction violation 2004 FED $100,000,000
UBS Warburg LLC investor protection violation 2003 SEC $80,000,000
UBS toxic securities abuses 2016 NCUA $69,800,000
UBS Securities toxic securities abuses 2013 SEC $50,000,000
UBS wage and hour violation 2007 private lawsuit-federal $45,000,000
UBS wage and hour violation 2007 private lawsuit-federal $44,000,000
UBS Financial Services Inc. of Puerto Rico investor protection violation 2012 SEC $26,600,000
PaineWebber Incorporated securities issuance or trading violation 2000 SEC $26,200,000
UBS AG investor protection violation 2015 SEC $19,500,000
UBS Willow Management LLC and UBS Fund Advisor LLC investor protection violation 2015 SEC $17,500,000
UBS Financial Services investor protection violation 2016 SEC $15,025,882
UBS Financial Services Inc. of Puerto Rico financial institution supervision failures 2015 SEC $15,000,000
UBS AG securities issuance or trading violation 2018 CFTC $15,000,000
UBS Securities LLC investor protection violation 2015 SEC $14,400,000
UBS Securities LLC securities issuance or trading violation 2011 SEC $8,000,000
Warburg Dillon Read LLC securities issuance or trading violation 2000 SEC $6,680,000
UBS as successor to Piper Jaffray wage and hour violation 2008 private lawsuit-federal $5,500,000
UBS Financial Services Inc. securities issuance or trading violation 2004 SEC $4,621,768
UBS Financial Services, Inc. investor protection violation 2017 SEC $3,500,000
UBS AG economic sanction violation 2015 OFAC $1,700,100
UBS wage and hour violation 2012 private lawsuit-federal $1,400,000
UBS wage and hour violation 2015 private lawsuit-federal $1,312,500
UBS PaineWebber, Inc. financial institution supervision failures 2003 SEC $500,000
UBS Financial Services Inc. investor protection violation 2015 SEC $480,000
UBS Global Asset Management investor protection violation 2012 SEC $300,000
UBS Securities data submission deficiencies 2010 CFTC $200,000
UBS AG securities issuance or trading violation 2010 CFTC $130,000
UBS Financial Services investor protection violation 2014 SEC $56,400
UBS Fund Advisor, LLC data submission deficiencies 2009 CFTC $50,000
UBS Financial Services, Inc. wage and hour violation 2007 WHD $27,152
UBS Inc. labor relations violation 2010 NLRB $26,351
UBS (USA) Inc economic sanction violation 2003 OFAC $14,750
UBS (USA) Inc economic sanction violation 2003 OFAC $5,000
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