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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 TypeYear sort iconAgencyPenalty Amount
PaineWebber Incorporatedinvestor protection violation2000SEC$26,200,000
Warburg Dillon Read LLCinvestor protection violation2000SEC$6,680,000
CS First Boston Corp.investor protection violation2000FINRA$1,240,000
Schwab Capital Marketsinvestor protection violation2001FINRA$12,000
Credit Suisse First Boston Corporationinvestor protection violation2001FINRA$25,000
Credit Suisse First Boston Corporationinvestor protection violation2002SEC$100,000,000
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
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
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
UBS (USA) Inceconomic sanction violation2003OFAC$14,750
UBS (USA) Inceconomic sanction violation2003OFAC$5,000
UBS PaineWebber, Inc.investor protection violation2003SEC$500,000
Credit Suisse First Boston LLCinvestor protection violation2003SEC$200,000,000
UBS Warburg LLCinvestor protection violation2003SEC$80,000,000
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
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 AGeconomic sanction violation2004FED$100,000,000
UBS Financial Services Inc.investor protection violation2004SEC$4,621,768
Donaldson, Lufkin & Jenrette Securities Corp.investor protection violation2004SEC$1,000,000
Credit Suisse First Boston, L.L.C.investor protection violation2004FINRA$50,000
Schwab Capital Markets, L.P.investor protection violation2004FINRA$70,000
UBS Securities, L.L.C.investor protection violation2004FINRA$10,000
UBS Financial Services Inc.investor protection violation2004FINRA$200,666
Credit Suisse First Boston LLCinvestor protection violation2004FINRA$770,000
UBS Securities LLCinvestor protection violation2005SEC$700,000
Credit Suisse First Boston, LLCinvestor protection violation2005SEC$200,000
UBS International Inc.investor protection violation2005FINRA$10,000
UBS Global Asset Managementbenefit plan administrator violation2006private lawsuit-federal$5,493,000
UBS Financial Services Inc.investor protection violation2006NJ-AG$24,750,000
UBS Financial Services, Inc.investor protection violation2006MT-FIN$4,503,166
Credit Suisse Securities (USA), LLCinvestor protection violation2006FINRA$225,000
UBS Financial Services, Inc.wage and hour violation2007WHD$27,152
UBSwage and hour violation2007private lawsuit-federal$44,000,000
UBSwage and hour violation2007private lawsuit-federal$45,000,000
UBS Financial Services, Inc.investor protection violation2007NY-AG$23,300,000
UBS Financial Services Inc.investor protection violation2007CT-SEC$5,500,000
UBS Financial Services, Inc.investor protection violation2007MO-SEC$697,210
UBS FINANCIAL SERVICES, INC.investor protection violation2007VA-SEC$100,000
UBS Financial Services, Inc.investor protection violation2007FINRA$370,000
UBS as successor to Piper Jaffraywage and hour violation2008private lawsuit-federal$5,500,000
UBS Financial Services, Inc. and UBS Securities LLCtoxic securities abuses2008MA-AG$35,000,000
UBS Securities LLC and UBS Financial Services, Inc.investor protection violation2008MULTI-AG$11,150,000,000
Credit Suisse Securities (USA) LLCinvestor protection violation2008MULTI-FIN$15,000,000
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 Financial Services, Inc.investor protection violation2008FINRA$1,000,000
UBS Securities, LLCinvestor protection violation2008FINRA$200,000
UBS Fund Advisor, LLCdata submission deficiencies2009CFTC$50,000
Credit Suisse AGeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
UBS AGtax violations2009DOJ_TAX$780,000,000
UBS AGtax violations2009SEC$200,000,000
Credit Suisse AGeconomic sanction violation2009NY-MANDA$268,000,000
UBS Financial Services, Inc.investor protection violation2009MO-SEC$170,175
UBS Securitiesinvestor protection violation2009FINRA$268,000
Credit Suisse Securities (USA), LLCinvestor protection violation2009FINRA$275,000
UBS Financial Services, Inc.investor protection violation2009FINRA$100,000
UBS Securitiesdata submission deficiencies2010CFTC$200,000
UBS AGinvestor protection violation2010CFTC$130,000
UBS Inc.labor relations violation2010NLRB$26,351
UBSinvestor protection violation2010MI-AG$117,000,000
UBS Securities LLCinvestor protection violation2010AK-DBS$733,465
UBS Securities LLCinvestor protection violation2010TX-SEC$6,640,432
UBS FINANCIAL SERVICES, INC.investor protection violation2010VA-SEC$625,000
UBS AGprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
UBS Securities LLCinvestor protection violation2011SEC$8,000,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCinvestor protection violation2011SEC$2,500,000
Credit Suisse Securities (USA) LLCinvestor protection violation2011NJ-AG$1,057,996
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
UBS Securities LLC and UBS Financial Services, Incinvestor protection violation2011NJ-AG$3,790,487
UBS Financial Servicesinvestor protection violation2011IN-SEC$677,000
UBS Financial Services Inc.investor protection violation2011NH-BSR$1,000,000
UBS AGenvironmental violation2011CT-ENV$80,000
Credit Suisse Securities (USA) LLCinvestor protection violation2011FINRA$1,750,000
UBS Securities LLCinvestor protection violation2011FINRA$12,000,000
Credit Suisse Securities (USA) LLCinvestor protection violation2011FINRA$4,500,000
UBS Financial Services, Inc.investor protection violation2011FINRA$10,750,000
UBS Securities Japan Co. Ltd.price-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
Credit Suisse Securities (USA)toxic securities abuses2012SEC$120,000,000
UBS Financial Services Inc. of Puerto Ricoinvestor protection violation2012SEC$26,600,000
UBS Global Asset Managementinvestor protection violation2012SEC$300,000
UBS AGprice-fixing or anti-competitive practices2012CFTC$700,000,000
UBSwage and hour violation2012private lawsuit-federal$1,400,000
UBS Financial Services Inc.investor protection violation2012NH-BSR$72,500
UBS Financial Servicesinvestor protection violation2012FINRA$2,354,584
UBS Securitiestoxic securities abuses2013SEC$50,000,000
UBS Americas Inc.toxic securities abuses2013FHFA$885,000,000
UBS, Inc.wage and hour violation2013WHD$90,902
UBS O'Connor, LLCinvestor protection violation2013SEC$5,297,716
UBS Financial Services, Incinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services, Inc.investor protection violation2013DE-AG$70,077
UBS Financial Services, Inc.investor protection violation2013AK-DBS$64,661
UBS Financial Services Inc.investor protection violation2013MULTI-FIN$4,600,000
Credit Suisse AGbanking violation2014FED$100,000,000
Credit Suisse Group AGinvestor protection violation2014SEC$196,000,000
Credit Suissetoxic securities abuses2014FHFA$885,000,000
UBS AGprice-fixing or anti-competitive practices2014CFTC$290,000,000
Credit Suisse AGtax violations2014DOJ_TAX$1,800,000,000
UBS Financial Servicesinvestor protection violation2014SEC$56,400
Credit Suisse AGtax violations2014NY-DFS$715,000,000
UBS Financial Services Inc.investor protection violation2014VT-FIN$325,000
Credit Suisse Securities (USA), LLCinvestor protection violation2014FINRA$5,000,000
UBS AGbanking violation2015FED$342,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.