UBS, Inc. | wage and hour violation | 2013 | WHD | $90,902 |
UBS Financial Services, Inc. | wage and hour violation | 2007 | WHD | $27,152 |
UBS | wage and hour violation | 2015 | private lawsuit-federal | $1,312,500 |
UBS | wage and hour violation | 2012 | private lawsuit-federal | $1,400,000 |
UBS as successor to Piper Jaffray | wage and hour violation | 2008 | private lawsuit-federal | $5,500,000 |
UBS | wage and hour violation | 2007 | private lawsuit-federal | $44,000,000 |
UBS | wage and hour violation | 2007 | private lawsuit-federal | $45,000,000 |
UBS Financial Services Inc. | wage and hour violation | 2018 | WHD | $6,246 |
Credit Suisse Energy LLC | utility service violation | 2017 | TX-PUC | $7,500 |
UBS Securities | toxic securities abuses | 2013 | SEC | $50,000,000 |
Credit Suisse Securities (USA) | toxic securities abuses | 2012 | SEC | $120,000,000 |
Credit Suisse | toxic securities abuses | 2014 | FHFA | $885,000,000 |
UBS Americas Inc. | toxic securities abuses | 2013 | FHFA | $885,000,000 |
UBS | toxic securities abuses | 2016 | NCUA | $69,800,000 |
Credit Suisse | toxic securities abuses | 2016 | NCUA | $50,300,000 |
Credit Suisse | toxic securities abuses | 2017 | DOJ_CIVIL | $5,280,000,000 |
UBS | toxic securities abuses | 2017 | NCUA | $445,000,000 |
Credit Suisse Securities (USA) LLC | toxic securities abuses | 2016 | VA-AG | $1,200,000 |
UBS Financial Services, Inc. and UBS Securities LLC | toxic securities abuses | 2008 | MA-AG | $35,000,000 |
UBS Securities LLC | toxic securities abuses | 2018 | NY-AG | $230,000,000 |
UBS Securities LLC | toxic securities abuses | 2016 | VA-AG | $850,000 |
UBS AG | toxic securities abuses | 2023 | DOJ_CIVIL | $1,435,000,000 |
Credit Suisse AG | tax violations | 2014 | DOJ_TAX | $1,800,000,000 |
UBS AG | tax violations | 2009 | DOJ_TAX | $780,000,000 |
UBS AG | tax violations | 2009 | SEC | $200,000,000 |
Credit Suisse AG | tax violations | 2014 | NY-DFS | $715,000,000 |
UBS Securities Japan Co. Ltd. | price-fixing or anti-competitive practices | 2012 | DOJ_ANTITRUST | $500,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $160,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $203,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2014 | CFTC | $290,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2012 | CFTC | $700,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2018 | MULTI-AG | $68,000,000 |
UBS AG | price-fixing or anti-competitive practices | 2011 | 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. $90,800,000 |
UBS AG | price-fixing or anti-competitive practices | 2016 | WV-AG | $325,000 |
Credit Suisse AG | price-fixing or anti-competitive practices | 2017 | NY-DFS | $135,000,000 |
Credit Suisse AG | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
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 |
Credit Suisse GroupAG | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
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 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 |
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 |
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 |
UBS Securities LLC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Credit Suisse Group AG | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $550,000 |
Credit Suisse AG | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $13,750,000 |
UBS Inc. | labor relations violation | 2010 | NLRB | $26,351 |
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 |