Credit Suisse AG | accounting fraud or deficiencies | 2016 | SEC | $90,000,000 |
UBS Financial Services Inc. | anti-money-laundering deficiencies | 2018 | FINCEN | $5,000,000 |
UBS Financial Services Inc. and UBS Securities LLC | anti-money-laundering deficiencies | 2018 | FINRA | $5,000,000 |
Credit Suisse Securities (USA) LLC | anti-money-laundering deficiencies | 2016 | FINRA | $16,500,000 |
UBS AG | banking violation | 2015 | FED | $342,000,000 |
Credit Suisse AG | banking violation | 2014 | FED | $100,000,000 |
UBS | banking violation | 2023 | TX-AG | $850,000 |
UBS Group AG | banking violation | 2023 | FED | $268,500,000 |
UBS Global Asset Management | benefit plan administrator violation | 2006 | private lawsuit-federal | $5,493,000 |
Credit Suisse | consumer protection violation | 2016 | private lawsuit-federal | $110,000,000 |
UBS Securities LLC | consumer protection violation | 2015 | private lawsuit-federal | $78,333,333 |
Credit Suisse Securities (USA) LLC | data submission deficiencies | 2015 | SEC | $4,250,000 |
UBS Securities | data submission deficiencies | 2010 | CFTC | $200,000 |
UBS Fund Advisor, LLC | data submission deficiencies | 2009 | CFTC | $50,000 |
UBS AG | economic sanction violation | 2015 | OFAC | $1,700,100 |
UBS AG | economic sanction violation | 2004 | FED | $100,000,000 |
Credit Suisse AG | economic sanction violation | 2009 | DOJ_CRIMINAL | $268,000,000 |
UBS (USA) Inc | economic sanction violation | 2003 | OFAC | $14,750 |
UBS (USA) Inc | economic sanction violation | 2003 | OFAC | $5,000 |
Credit Suisse AG | economic sanction violation | 2009 | NY-MANDA | $268,000,000 |
UBS AG | environmental violation | 2011 | CT-ENV | $80,000 |
Credit Suisse (Hong Kong) Limited | Foreign Corrupt Practices Act | 2018 | DOJ_CRIMINAL | $47,029,916 |
Credit Suisse Group AG | Foreign Corrupt Practices Act | 2018 | SEC | $29,700,000 |
Credit Suisse Group AG | Foreign Corrupt Practices Act | 2021 | SEC | $99,000,000 |
Credit Suisse Group AG | fraud | 2021 | DOJ_CRIMINAL | $175,500,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2016 | SEC | $54,300,000 |
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 |
UBS Securities LLC | investor protection violation | 2015 | SEC | $14,400,000 |
Credit Suisse Group AG | investor protection violation | 2014 | SEC | $196,000,000 |
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 Securities LLC | investor protection violation | 2011 | SEC | $8,000,000 |
Credit Suisse | investor protection violation | 2016 | CFTC | $665,000 |
UBS Financial Services | investor protection violation | 2014 | SEC | $56,400 |
UBS AG | investor protection violation | 2010 | CFTC | $130,000 |
UBS Financial Services Inc. | investor protection violation | 2004 | SEC | $4,621,768 |
UBS PaineWebber, Inc. | investor protection violation | 2003 | SEC | $500,000 |
Credit Suisse First Boston LLC | investor protection violation | 2003 | SEC | $200,000,000 |
UBS Warburg LLC | investor protection violation | 2003 | SEC | $80,000,000 |
Credit Suisse First Boston Corporation | investor protection violation | 2002 | SEC | $100,000,000 |
PaineWebber Incorporated | investor protection violation | 2000 | SEC | $26,200,000 |
Warburg Dillon Read LLC | investor protection violation | 2000 | SEC | $6,680,000 |
UBS Financial Services | investor protection violation | 2016 | SEC | $15,025,882 |
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 |
UBS Financial Services Inc. | investor protection violation | 2015 | SEC | $480,000 |
UBS AG | investor protection violation | 2018 | CFTC | $15,000,000 |
UBS O'Connor, LLC | investor protection violation | 2013 | SEC | $5,297,716 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | investor protection violation | 2011 | SEC | $2,500,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2018 | SEC | $5,000,000 |
UBS Securities LLC | investor protection violation | 2005 | SEC | $700,000 |
Credit Suisse First Boston, LLC | investor protection violation | 2005 | SEC | $200,000 |
Donaldson, Lufkin & Jenrette Securities Corp. | investor protection violation | 2004 | SEC | $1,000,000 |
UBS Financial Services Inc. | investor protection violation | 2018 | SEC | $5,000,000 |
Credit Suisse First Boston Corp. | 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 | investor protection violation | 2016 | NY-AG | $30,000,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2011 | NJ-AG | $1,057,996 |
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 | investor protection violation | 2010 | MI-AG | $117,000,000 |
UBS Financial Services Inc. | investor protection violation | 2006 | NJ-AG | $24,750,000 |
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 | 2007 | NY-AG | $23,300,000 |
UBS Securities LLC and UBS Financial Services, Inc | investor protection violation | 2011 | NJ-AG | $3,790,487 |
UBS Securities LLC and UBS Financial Services, Inc. | investor protection violation | 2008 | MULTI-AG | $11,150,000,000 |
UBS Warburg LLC | 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. $80,000,000 |
UBS Securities LLC | investor protection violation | 2010 | AK-DBS | $733,465 |
UBS Financial Services, Inc. | investor protection violation | 2013 | AK-DBS | $64,661 |
UBS Financial Services Inc. | investor protection violation | 2007 | CT-SEC | $5,500,000 |
UBS Financial Services | investor protection violation | 2011 | IN-SEC | $677,000 |
UBS Financial Services, Inc. | investor protection violation | 2007 | MO-SEC | $697,210 |
UBS Financial Services, Inc. | investor protection violation | 2009 | MO-SEC | $170,175 |
UBS Financial Services, Inc. | investor protection violation | 2006 | MT-FIN | $4,503,166 |
UBS Financial Services Inc. | investor protection violation | 2011 | NH-BSR | $1,000,000 |
UBS Financial Services Inc. | investor protection violation | 2012 | NH-BSR | $72,500 |
UBS Securities LLC | investor protection violation | 2010 | TX-SEC | $6,640,432 |
UBS FINANCIAL SERVICES, INC. | investor protection violation | 2007 | VA-SEC | $100,000 |
UBS FINANCIAL SERVICES, INC. | investor protection violation | 2010 | VA-SEC | $625,000 |
UBS Financial Services Inc. | investor protection violation | 2019 | VA-SEC | $288,970 |
UBS Financial Services Inc. | investor protection violation | 2014 | VT-FIN | $325,000 |
Credit Suisse First Boston LLC | 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 | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
UBS Financial Services Inc. | investor protection violation | 2013 | MULTI-FIN | $4,600,000 |
UBS Securities LLC and UBS Financial Services Inc. | investor protection violation | 2008 | 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. $150,000,000 |
UBS Warburg and UBS PaineWebber | 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. $25,000,000 |
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 | investor protection violation | 2019 | FINRA | $6,500,000 |
UBS Financial Services Inc. | investor protection violation | 2019 | FINRA | $2,000,000 |
UBS Financial Services Incorporated of Puerto Rico | investor protection violation | 2015 | FINRA | $18,500,000 |
Credit Suisse Securities (USA), LLC | investor protection violation | 2014 | FINRA | $5,000,000 |
UBS Financial Services | investor protection violation | 2012 | FINRA | $2,354,584 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2011 | FINRA | $1,750,000 |
UBS Securities LLC | investor protection violation | 2011 | FINRA | $12,000,000 |
Credit Suisse Securities (USA) LLC | investor protection violation | 2011 | FINRA | $4,500,000 |
UBS Financial Services, Inc. | investor protection violation | 2011 | FINRA | $10,750,000 |
UBS Securities | investor protection violation | 2009 | FINRA | $268,000 |
Credit Suisse Securities (USA), LLC | investor protection violation | 2009 | FINRA | $275,000 |
UBS Financial Services, Inc. | investor protection violation | 2009 | FINRA | $100,000 |