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Violation Tracker Global: Current Parent 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 2010 in U.S. dollars$21,656,237,899
Number of records: 189
Top 5 JurisdictionsPenalty Total (USD)Number of Records
United States$16,821,943,073105
France$2,190,778,1343
United Kingdom$1,258,221,80711
Germany$609,790,5002
European Commission$347,115,2345
Top 5 Offense GroupsPenalty Total (USD)Number of Records
financial offenses$18,133,079,559161
competition-related offenses$3,522,919,64722
employment-related offenses$151,1934
environment-related offenses$80,0001
consumer-protection-related offenses$7,5001

Individual Penalty Records:

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

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CompanyCurrent Parent IndustryOffense CategoryYearJurisdictionPenalty Amount (USD)
Credit Suissefinancial servicestoxic securities abuses2017United States$5,280,000,000
UBSfinancial servicestax violations2023France$1,943,089,688
Credit Suisse AGfinancial servicestax violations2014United States$1,800,000,000
UBS AGfinancial servicestoxic securities abuses2023United States$1,435,000,000
Credit Suissefinancial servicestoxic securities abuses2014United States$885,000,000
UBS Americas Inc.financial servicestoxic securities abuses2013United States$885,000,000
Credit Suisse AGfinancial servicestax violations2014United States$715,000,000
UBS AGfinancial servicesanti-competitive practices2012United States$700,000,000
UBS Securities Japan Co. Ltd.financial servicesanti-competitive practices2012United States$500,000,000
Credit Suisse Securities (USA) LLC et al.financial servicesinvestor protection violation2022United States$495,000,000
UBSfinancial servicestoxic securities abuses2017United States$445,000,000
Credit Suissefinancial servicesbanking violation2021United Kingdom$403,453,347
UBS AGfinancial servicestax violations2014Germany$403,017,000
UBS AGfinancial servicesforeign exchange market manipulation2014United Kingdom$367,368,557
UBS AGfinancial servicesbanking violation2015United States$342,000,000
UBS AGfinancial servicesanti-competitive practices2014United States$290,000,000
UBS Group AGfinancial servicesbanking violation2023United States$268,500,000
UBS AGfinancial servicesinterest rate benchmark manipulation2012United Kingdom$260,400,000
Credit Suisse AGfinancial servicesanti-money-laundering deficiencies2022France$234,576,846
UBS Securities LLCfinancial servicestoxic securities abuses2018United States$230,000,000
UBSfinancial servicesanti-competitive practices2021European Commission$210,451,129
Credit Suisse AGfinancial servicestax violations2011Germany$206,773,500
UBS AGfinancial servicesanti-competitive practices2015United States$203,000,000
Credit Suisse Group AGfinancial servicesinvestor protection violation2014United States$196,000,000
Credit Suisse Group AGfinancial servicesfraud2021United States$175,500,000
UBS AGfinancial servicesanti-competitive practices2011United States$160,000,000
UBS AGfinancial servicesforeign exchange market manipulation2014Switzerland$138,495,700
Credit Suisse AGfinancial servicesanti-competitive practices2017United States$135,000,000
Credit Suisse Securities (USA) LLCfinancial servicesinvestor protection violation2022United States$125,000,000
UBS Securities LLC and UBS Financial Services Inc.financial servicesinvestor protection violation2022United States$125,000,000
Credit Suisse Securities (USA)financial servicestoxic securities abuses2012United States$120,000,000
UBSfinancial servicesinvestor protection violation2010United States$117,000,000
Credit Suissefinancial servicestax violations2016Italy$116,384,265
Credit Suisse International and Credit Suisse Securities (Europe) Ltdfinancial servicesinternal controls deficiency2023United Kingdom$111,708,790
Credit Suisse AGfinancial servicesbanking violation2014United States$100,000,000
Credit Suisse Group AGfinancial serviceskickbacks and bribery2021United States$99,000,000
Credit Suissefinancial servicesanti-competitive practices2021European Commission$94,478,718
UBS AGfinancial servicesanti-competitive practices2011United States(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Penalty totals are adjusted to avoid double-counting. $90,800,000
Credit Suisse AGfinancial servicesaccounting fraud or deficiencies2016United States$90,000,000
Credit Suissefinancial servicesinvestor protection violation2022United States$75,000,000
UBS AGfinancial servicesinvestor protection violation2022United States$75,000,000
UBSfinancial servicestoxic securities abuses2016United States$69,800,000
UBS AGfinancial servicesanti-competitive practices2018United States$68,000,000
Credit Suisse Securities (USA) LLCfinancial servicesinvestor protection violation2016United States$54,300,000
UBS AGfinancial servicesinvestor protection violation2019Hong Kong$51,095,200
Credit Suissefinancial servicestoxic securities abuses2016United States$50,300,000
UBS Securitiesfinancial servicestoxic securities abuses2013United States$50,000,000
UBS AG and UBS Securities Hong Kong Limitedfinancial servicesinvestor protection violation2019Hong Kong$47,776,125
UBS AGfinancial servicesinvestor protection violation2012United Kingdom$47,561,580
Credit Suisse (Hong Kong) Limitedfinancial serviceskickbacks and bribery2018United States$47,029,916
UBS AGfinancial servicesinvestor protection violation2019United Kingdom$36,494,687
Credit Suisse Securitiesfinancial servicesinvestor protection violation2016United States$30,000,000
Credit Suisse Group AGfinancial serviceskickbacks and bribery2018United States$29,700,000
UBS Financial Services Inc. of Puerto Ricofinancial servicesinvestor protection violation2012United States$26,600,000
UBS Financial Services Inc.financial servicesinvestor protection violation2022United States$25,000,000
Credit Suissefinancial servicesanti-money-laundering deficiencies2022Switzerland$21,907,410
Credit Suissefinancial servicesinvestor protection violation2024South Korea$19,574,152
UBS AGfinancial servicesinvestor protection violation2015United States$19,500,000
UBS Financial Services Incorporated of Puerto Ricofinancial servicesinvestor protection violation2015United States$18,500,000
UBS Willow Management LLC and UBS Fund Advisor LLCfinancial servicesinvestor protection violation2015United States$17,500,000
Credit Suisse Securities (USA) LLCfinancial servicesanti-money-laundering deficiencies2016United States$16,500,000
UBSfinancial servicesanti-competitive practices2014European Commission$16,152,532
UBS Financial Servicesfinancial servicesinvestor protection violation2016United States$15,025,882
UBS Financial Services Inc. of Puerto Ricofinancial servicesinvestor protection violation2015United States$15,000,000
UBS AGfinancial servicesinvestor protection violation2018United States$15,000,000
UBS AGfinancial servicesinvestor protection violation2013United Kingdom$14,944,230
UBS Securities LLCfinancial servicesinvestor protection violation2015United States$14,400,000
Credit Suissefinancial servicesanti-competitive practices2021European Commission$14,322,589
UBS Francefinancial servicesbanking violation2013France$13,111,600
UBS Securities LLCfinancial servicesinvestor protection violation2011United States$12,000,000
Credit Suissefinancial servicesanti-competitive practices2014European Commission$11,710,266
UBS Financial Services, Inc.financial servicesinvestor protection violation2011United States$10,750,000
Credit Suisse Securities (USA) LLCfinancial servicesinvestor protection violation2018United States(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Penalty totals are adjusted to avoid double-counting. $10,000,000
UBS Financial Services Inc.financial servicesinvestor protection violation2020United States$10,000,000
Credit Suisse Securities (USA) LLCfinancial servicesinvestor protection violation2023United States$10,000,000
Credit Suisse (UK) Limitedfinancial servicesinvestor protection violation2011United Kingdom$9,516,430
Credit Suisse Securitiesfinancial servicesinvestor protection violation2022United States$9,000,000
UBS AGfinancial servicesinvestor protection violation2019Singapore$8,218,717
UBS Financial Services Inc.financial servicesinvestor protection violation2021United States$8,112,174
UBS Securities LLCfinancial servicesinvestor protection violation2011United States$8,000,000
UBS Securities LLCfinancial servicesinvestor protection violation2010United States$6,640,432
Credit Suisse Securities (USA) LLCfinancial servicesinvestor protection violation2019United States$6,500,000
Credit Suisse Securities (USA) LLCfinancial servicesinvestor protection violation2017United States$5,754,714
UBS O'Connor, LLCfinancial servicesinvestor protection violation2013United States$5,297,716
Credit Suisse (Hong Kong) Limited , Credit Suisse Securities (Hong Kong) Limited and Credit Suisse AGfinancial servicesinvestor protection violation2018Hong Kong$5,026,234
Credit Suisse Securities (USA) LLCfinancial servicesinvestor protection violation2018United States$5,000,000
UBS Financial Services Inc.financial servicesinvestor protection violation2018United States$5,000,000
UBS Financial Services Inc.financial servicesanti-money-laundering deficiencies2018United States$5,000,000
UBS Financial Services Inc. and UBS Securities LLCfinancial servicesanti-money-laundering deficiencies2018United States$5,000,000
Credit Suisse Securities (USA), LLCfinancial servicesinvestor protection violation2014United States$5,000,000
UBS Financial Services Inc.financial servicesinvestor protection violation2013United States$4,600,000
UBS Financial Services, Incfinancial servicesinvestor protection violation2013United States$4,580,000
Credit Suisse Securities (USA) LLCfinancial servicesinvestor protection violation2011United States$4,500,000
Credit Suisse Securities (USA) LLCfinancial servicesinvestor protection violation2015United States$4,250,000
Credit Suisse Internationalfinancial servicesinvestor protection violation2014United Kingdom$4,073,892
UBS Securities LLC and UBS Financial Services, Incfinancial servicesinvestor protection violation2011United States$3,790,487
UBS Financial Services, Inc.financial servicesinvestor protection violation2017United States$3,500,000
Credit Suisse AGfinancial servicesinvestor protection violation2023Singapore$2,950,420
Credit Suisse Securities (Europe) Limited et al.financial servicesinvestor protection violation2010United Kingdom$2,672,600
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCfinancial servicesinvestor protection violation2011United States$2,500,000
UBS Securities LLCfinancial servicesinvestor protection violation2022United States$2,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.