UBS | banking violation | 2023 | TX-AG | $850,000 |
Credit Suisse Group AG | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $550,000 |
UBS Group AG | banking violation | 2023 | FED | $268,500,000 |
UBS AG | toxic securities abuses | 2023 | DOJ_CIVIL | $1,435,000,000 |
Credit Suisse AG | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $13,750,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2023 | SEC | $10,000,000 |
Credit Suisse Securities | investor protection violation | 2022 | FINRA | $9,000,000 |
UBS Financial Services Inc. | investor protection violation | 2022 | SEC | $25,000,000 |
UBS Financial Services Inc. | investor protection violation | 2022 | SEC | $925,000 |
Credit Suisse | investor protection violation | 2022 | CFTC | $75,000,000 |
UBS AG | investor protection violation | 2022 | CFTC | $75,000,000 |
UBS Securities LLC | investor protection violation | 2022 | FINRA | $2,500,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2022 | SEC | $125,000,000 |
UBS Securities LLC and UBS Financial Services Inc. | investor protection violation | 2022 | SEC | $125,000,000 |
Credit Suisse Securities (USA) LLC et al. | investor protection violation | 2022 | NJ-AG | $495,000,000 |
Credit Suisse AG | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $10,989,000 |
Credit Suisse AG | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,875,000 |
UBS AG | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,000,000 |
Credit Suisse | investor protection violation | 2021 | CFTC | $1,500,000 |
UBS Financial Services Inc. | investor protection violation | 2021 | SEC | $8,112,174 |
UBS AG | investor protection violation | 2021 | CFTC | $500,000 |
Credit Suisse Group AG | fraud | 2021 | DOJ_CRIMINAL | $175,500,000 |
Credit Suisse Group AG | Foreign Corrupt Practices Act | 2021 | SEC | $99,000,000 |
UBS Financial Services Inc. | investor protection violation | 2020 | SEC | $10,000,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2020 | SEC | $600,000 |
Credit Suisse Securities (USA) LLC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
UBS AG | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $17,900,000 |
UBS Securities LLC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
UBS Financial Services Inc. | investor protection violation | 2019 | VA-SEC | $288,970 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2019 | FINRA | $6,500,000 |
UBS Financial Services Inc. | investor protection violation | 2019 | FINRA | $2,000,000 |
UBS AG | investor protection violation | 2018 | CFTC | $15,000,000 |
Credit Suisse (Hong Kong) Limited | Foreign Corrupt Practices Act | 2018 | DOJ_CRIMINAL | $47,029,916 |
UBS Financial Services Inc. | wage and hour violation | 2018 | WHD | $6,246 |
Credit Suisse Group AG | Foreign Corrupt Practices Act | 2018 | SEC | $29,700,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2018 | SEC | $5,000,000 |
UBS Financial Services Inc. | investor protection violation | 2018 | SEC | $5,000,000 |
UBS Financial Services Inc. | anti-money-laundering deficiencies | 2018 | FINCEN | $5,000,000 |
Credit Suisse Securities (USA) LLC | 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 |
UBS AG | price-fixing or anti-competitive practices | 2018 | MULTI-AG | $68,000,000 |
UBS Securities LLC | toxic securities abuses | 2018 | NY-AG | $230,000,000 |
UBS Financial Services Inc. and UBS Securities LLC | anti-money-laundering deficiencies | 2018 | FINRA | $5,000,000 |
Credit Suisse AG | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $141,075,000 |
UBS AG | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $14,000,000 |
Credit Suisse | toxic securities abuses | 2017 | DOJ_CIVIL | $5,280,000,000 |
UBS | toxic securities abuses | 2017 | NCUA | $445,000,000 |
UBS Financial Services, Inc. | investor protection violation | 2017 | SEC | $3,500,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2017 | SEC | $5,754,714 |
Credit Suisse AG | price-fixing or anti-competitive practices | 2017 | NY-DFS | $135,000,000 |
Credit Suisse Energy LLC | utility service violation | 2017 | TX-PUC | $7,500 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2016 | SEC | $54,300,000 |
UBS | toxic securities abuses | 2016 | NCUA | $69,800,000 |
Credit Suisse | toxic securities abuses | 2016 | NCUA | $50,300,000 |
Credit Suisse | investor protection violation | 2016 | CFTC | $665,000 |
UBS Financial Services | investor protection violation | 2016 | SEC | $15,025,882 |
Credit Suisse AG | accounting fraud or deficiencies | 2016 | SEC | $90,000,000 |
Credit Suisse Securities | investor protection violation | 2016 | NY-AG | $30,000,000 |
Credit Suisse Securities (USA) LLC | toxic securities abuses | 2016 | VA-AG | $1,200,000 |
UBS Securities LLC | toxic securities abuses | 2016 | VA-AG | $850,000 |
UBS AG | price-fixing or anti-competitive practices | 2016 | WV-AG | $325,000 |
Credit Suisse Securities (USA) LLC | anti-money-laundering deficiencies | 2016 | FINRA | $16,500,000 |
Credit Suisse GroupAG | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
UBS AG | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $32,000,000 |
UBS Group AG | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
Credit Suisse | consumer protection violation | 2016 | private lawsuit-federal | $110,000,000 |
UBS AG | banking violation | 2015 | FED | $342,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $203,000,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC | investor protection violation | 2015 | SEC | $17,500,000 |
UBS AG | investor protection violation | 2015 | SEC | $19,500,000 |
UBS Financial Services Inc. of Puerto Rico | investor protection violation | 2015 | SEC | $15,000,000 |
Credit Suisse Securities (USA) LLC | data submission deficiencies | 2015 | SEC | $4,250,000 |
UBS Securities LLC | investor protection violation | 2015 | SEC | $14,400,000 |
UBS AG | economic sanction violation | 2015 | OFAC | $1,700,100 |
UBS Financial Services Inc. | investor protection violation | 2015 | SEC | $480,000 |
UBS | wage and hour violation | 2015 | private lawsuit-federal | $1,312,500 |
UBS Financial Services Incorporated of Puerto Rico | investor protection violation | 2015 | FINRA | $18,500,000 |
UBS Securities LLC | consumer protection violation | 2015 | private lawsuit-federal | $78,333,333 |
Credit Suisse AG | banking violation | 2014 | FED | $100,000,000 |
Credit Suisse Group AG | investor protection violation | 2014 | SEC | $196,000,000 |
Credit Suisse | toxic securities abuses | 2014 | FHFA | $885,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2014 | CFTC | $290,000,000 |
Credit Suisse AG | tax violations | 2014 | DOJ_TAX | $1,800,000,000 |
UBS Financial Services | investor protection violation | 2014 | SEC | $56,400 |
Credit Suisse AG | tax violations | 2014 | NY-DFS | $715,000,000 |
UBS Financial Services Inc. | investor protection violation | 2014 | VT-FIN | $325,000 |
Credit Suisse Securities (USA), LLC | investor protection violation | 2014 | FINRA | $5,000,000 |
UBS Securities | toxic securities abuses | 2013 | SEC | $50,000,000 |
UBS Americas Inc. | toxic securities abuses | 2013 | FHFA | $885,000,000 |
UBS, Inc. | wage and hour violation | 2013 | WHD | $90,902 |
UBS O'Connor, LLC | investor protection violation | 2013 | SEC | $5,297,716 |
UBS Financial Services, Inc | investor protection violation | 2013 | MULTI-AG | $4,580,000 |
UBS Financial Services, Inc. | investor protection violation | 2013 | DE-AG | $70,077 |
UBS Financial Services, Inc. | investor protection violation | 2013 | AK-DBS | $64,661 |
UBS Financial Services Inc. | investor protection violation | 2013 | MULTI-FIN | $4,600,000 |
UBS Securities Japan Co. Ltd. | price-fixing or anti-competitive practices | 2012 | DOJ_ANTITRUST | $500,000,000 |
Credit Suisse Securities (USA) | toxic securities abuses | 2012 | SEC | $120,000,000 |
UBS Financial Services Inc. of Puerto Rico | investor protection violation | 2012 | SEC | $26,600,000 |
UBS Global Asset Management | investor protection violation | 2012 | SEC | $300,000 |
UBS AG | price-fixing or anti-competitive practices | 2012 | CFTC | $700,000,000 |