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Violation Tracker Current Parent Company Summary

Current Parent Company Name: UBS
Ownership Structure: publicly traded (ticker symbol NYSE: UBS)
Headquartered in: Switzerland
Major Industry: financial services
Specific Industry: banking & securities
Penalty total since 2000: $31,069,299,125
Number of records: 179
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$27,709,494,893134
competition-related offenses$3,064,027,24828
consumer-protection-related offenses$188,340,8333
employment-related offenses$102,856,15110
miscellaneous offenses$4,500,0003
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$13,261,775,043103
toxic securities abuses$9,487,150,00013
tax violations$3,495,000,0004
price-fixing or anti-competitive practices$2,712,797,33224
banking violation$711,350,0004
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 totals are adjusted to account for the fact that the individual 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. The totals 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 list below.

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

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
UBS Securities LLC and UBS Financial Services, Inc.investor protection violation2008MULTI-AG$11,150,000,000
Credit Suissetoxic securities abuses2017DOJ_CIVIL$5,280,000,000
Credit Suisse AGtax violations2014DOJ_TAX$1,800,000,000
UBS AGtoxic securities abuses2023DOJ_CIVIL$1,435,000,000
Credit Suissetoxic securities abuses2014FHFA$885,000,000
UBS Americas Inc.toxic securities abuses2013FHFA$885,000,000
UBS AGtax violations2009DOJ_TAX$780,000,000
Credit Suisse AGtax violations2014NY-DFS$715,000,000
UBS AGprice-fixing or anti-competitive practices2012CFTC$700,000,000
UBS Securities Japan Co. Ltd.price-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
Credit Suisse Securities (USA) LLC et al.investor protection violation2022NJ-AG$495,000,000
UBStoxic securities abuses2017NCUA$445,000,000
UBS AGbanking violation2015FED$342,000,000
UBS AGprice-fixing or anti-competitive practices2014CFTC$290,000,000
UBS Group AGbanking violation2023FED$268,500,000
Credit Suisse AGeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Credit Suisse AGeconomic sanction violation2009NY-MANDA$268,000,000
UBS Securities LLCtoxic securities abuses2018NY-AG$230,000,000
UBS AGprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
UBS AGtax violations2009SEC$200,000,000
Credit Suisse First Boston LLCinvestor protection violation2003SEC$200,000,000
Credit Suisse First Boston Corp.investor 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. $200,000,000
Credit Suisse Group AGinvestor protection violation2014SEC$196,000,000
Credit Suisse Group AGfraud2021DOJ_CRIMINAL$175,500,000
UBS AGprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
Credit Suisse GroupAGprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
UBS Group AGprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
UBS Securities LLC and UBS Financial Services Inc.investor 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 AGprice-fixing or anti-competitive practices2018private lawsuit-federal$141,075,000
Credit Suisse AGprice-fixing or anti-competitive practices2017NY-DFS$135,000,000
Credit Suisse Securities (USA) LLCinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.investor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA)toxic securities abuses2012SEC$120,000,000
UBSinvestor protection violation2010MI-AG$117,000,000
Credit Suisseconsumer protection violation2016private lawsuit-federal$110,000,000
Credit Suisse AGbanking violation2014FED$100,000,000
UBS AGeconomic sanction violation2004FED$100,000,000
Credit Suisse First Boston Corporationinvestor protection violation2002SEC$100,000,000
Credit Suisse Group AGForeign Corrupt Practices Act2021SEC$99,000,000
UBS AGprice-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
Credit Suisse AGaccounting fraud or deficiencies2016SEC$90,000,000
UBS Warburg LLCinvestor protection violation2003SEC$80,000,000
UBS Warburg LLCinvestor 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 Securities LLCconsumer protection violation2015private lawsuit-federal$78,333,333
Credit Suisse First Boston LLCinvestor 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. $75,000,000
Credit Suisseinvestor protection violation2022CFTC$75,000,000
UBS AGinvestor protection violation2022CFTC$75,000,000
UBStoxic securities abuses2016NCUA$69,800,000
UBS AGprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
Credit Suisse Securities (USA) LLCinvestor protection violation2016SEC$54,300,000
Credit Suissetoxic securities abuses2016NCUA$50,300,000
UBS Securitiestoxic securities abuses2013SEC$50,000,000
Credit Suisse First Boston Corporationinvestor protection violation2002FINRA(*)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 AGprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Credit Suisse (Hong Kong) LimitedForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
UBSwage and hour violation2007private lawsuit-federal$45,000,000
UBSwage and hour violation2007private lawsuit-federal$44,000,000
UBS Financial Services, Inc. and UBS Securities LLCtoxic securities abuses2008MA-AG$35,000,000
UBS AGprice-fixing or anti-competitive practices2016private lawsuit-federal$32,000,000
Credit Suisse Securitiesinvestor protection violation2016NY-AG$30,000,000
Credit Suisse Group AGForeign Corrupt Practices Act2018SEC$29,700,000
UBS Financial Services Inc. of Puerto Ricoinvestor protection violation2012SEC$26,600,000
PaineWebber Incorporatedinvestor protection violation2000SEC$26,200,000
UBS Warburg and UBS PaineWebberinvestor 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 Financial Services Inc.investor protection violation2022SEC$25,000,000
UBS Financial Services Inc.investor protection violation2006NJ-AG$24,750,000
UBS Financial Services, Inc.investor protection violation2007NY-AG$23,300,000
Credit Suisse Securities (USA) LLCprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
UBS Securities LLCprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
UBS AGinvestor protection violation2015SEC$19,500,000
UBS Financial Services Incorporated of Puerto Ricoinvestor protection violation2015FINRA$18,500,000
UBS AGprice-fixing or anti-competitive practices2020private lawsuit-federal$17,900,000
UBS Willow Management LLC and UBS Fund Advisor LLCinvestor protection violation2015SEC$17,500,000
Credit Suisse Securities (USA) LLCanti-money-laundering deficiencies2016FINRA$16,500,000
UBS Financial Servicesinvestor protection violation2016SEC$15,025,882
UBS Financial Services Inc. of Puerto Ricoinvestor protection violation2015SEC$15,000,000
UBS AGinvestor protection violation2018CFTC$15,000,000
Credit Suisse Securities (USA) LLCinvestor protection violation2008MULTI-FIN$15,000,000
UBS Securities LLCinvestor protection violation2015SEC$14,400,000
UBS AGprice-fixing or anti-competitive practices2018private lawsuit-federal$14,000,000
Credit Suisse AGprice-fixing or anti-competitive practices2023private lawsuit-federal$13,750,000
UBS Securities LLCinvestor protection violation2011FINRA$12,000,000
Credit Suisse AGprice-fixing or anti-competitive practices2022private lawsuit-federal$10,989,000
UBS Financial Services, Inc.investor protection violation2011FINRA$10,750,000
Credit Suisse Securities (USA) LLCinvestor protection violation2018NY-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
UBS Financial Services Inc.investor protection violation2020SEC$10,000,000
Credit Suisse Securities (USA) LLCinvestor protection violation2023SEC$10,000,000
Credit Suisse Securitiesinvestor protection violation2022FINRA$9,000,000
Credit Suisse AGprice-fixing or anti-competitive practices2022private lawsuit-federal$8,875,000
UBS Financial Services Inc.investor protection violation2021SEC$8,112,174
UBS Securities LLCinvestor protection violation2011SEC$8,000,000
UBS AGprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
UBS AGprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Warburg Dillon Read LLCinvestor protection violation2000SEC$6,680,000
UBS Securities LLCinvestor protection violation2010TX-SEC$6,640,432
Credit Suisse Securities (USA) LLCinvestor protection violation2019FINRA$6,500,000
Credit Suisse Securities (USA) LLCinvestor protection violation2017SEC$5,754,714
UBS as successor to Piper Jaffraywage and hour violation2008private lawsuit-federal$5,500,000
UBS Financial Services Inc.investor protection violation2007CT-SEC$5,500,000
UBS Global Asset Managementbenefit plan administrator violation2006private lawsuit-federal$5,493,000
UBS O'Connor, LLCinvestor protection violation2013SEC$5,297,716
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.