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Top 5 Jurisdictions | Penalty Total (USD) | Number of Records |
---|---|---|
United States | $16,821,943,073 | 105 |
France | $2,190,778,134 | 3 |
United Kingdom | $1,258,221,807 | 11 |
Germany | $609,790,500 | 2 |
European Commission | $347,115,234 | 5 |
Top 5 Offense Groups | Penalty Total (USD) | Number of Records |
---|---|---|
financial offenses | $18,133,079,559 | 161 |
competition-related offenses | $3,522,919,647 | 22 |
employment-related offenses | $151,193 | 4 |
environment-related offenses | $80,000 | 1 |
consumer-protection-related offenses | $7,500 | 1 |
Click on the company or penalty amount for more information on each case.
Company | Current Parent Industry | Offense Category | Year | Jurisdiction | Penalty Amount (USD) |
---|---|---|---|---|---|
Credit Suisse | financial services | toxic securities abuses | 2017 | United States | $5,280,000,000 |
UBS | financial services | tax violations | 2023 | France | $1,943,089,688 |
Credit Suisse AG | financial services | tax violations | 2014 | United States | $1,800,000,000 |
UBS AG | financial services | toxic securities abuses | 2023 | United States | $1,435,000,000 |
Credit Suisse | financial services | toxic securities abuses | 2014 | United States | $885,000,000 |
UBS Americas Inc. | financial services | toxic securities abuses | 2013 | United States | $885,000,000 |
Credit Suisse AG | financial services | tax violations | 2014 | United States | $715,000,000 |
UBS AG | financial services | anti-competitive practices | 2012 | United States | $700,000,000 |
UBS Securities Japan Co. Ltd. | financial services | anti-competitive practices | 2012 | United States | $500,000,000 |
Credit Suisse Securities (USA) LLC et al. | financial services | investor protection violation | 2022 | United States | $495,000,000 |
UBS | financial services | toxic securities abuses | 2017 | United States | $445,000,000 |
Credit Suisse | financial services | banking violation | 2021 | United Kingdom | $403,453,347 |
UBS AG | financial services | tax violations | 2014 | Germany | $403,017,000 |
UBS AG | financial services | foreign exchange market manipulation | 2014 | United Kingdom | $367,368,557 |
UBS AG | financial services | banking violation | 2015 | United States | $342,000,000 |
UBS AG | financial services | anti-competitive practices | 2014 | United States | $290,000,000 |
UBS Group AG | financial services | banking violation | 2023 | United States | $268,500,000 |
UBS AG | financial services | interest rate benchmark manipulation | 2012 | United Kingdom | $260,400,000 |
Credit Suisse AG | financial services | anti-money-laundering deficiencies | 2022 | France | $234,576,846 |
UBS Securities LLC | financial services | toxic securities abuses | 2018 | United States | $230,000,000 |
UBS | financial services | anti-competitive practices | 2021 | European Commission | $210,451,129 |
Credit Suisse AG | financial services | tax violations | 2011 | Germany | $206,773,500 |
UBS AG | financial services | anti-competitive practices | 2015 | United States | $203,000,000 |
Credit Suisse Group AG | financial services | investor protection violation | 2014 | United States | $196,000,000 |
Credit Suisse Group AG | financial services | fraud | 2021 | United States | $175,500,000 |
UBS AG | financial services | anti-competitive practices | 2011 | United States | $160,000,000 |
UBS AG | financial services | foreign exchange market manipulation | 2014 | Switzerland | $138,495,700 |
Credit Suisse AG | financial services | anti-competitive practices | 2017 | United States | $135,000,000 |
Credit Suisse Securities (USA) LLC | financial services | investor protection violation | 2022 | United States | $125,000,000 |
UBS Securities LLC and UBS Financial Services Inc. | financial services | investor protection violation | 2022 | United States | $125,000,000 |
Credit Suisse Securities (USA) | financial services | toxic securities abuses | 2012 | United States | $120,000,000 |
UBS | financial services | investor protection violation | 2010 | United States | $117,000,000 |
Credit Suisse | financial services | tax violations | 2016 | Italy | $116,384,265 |
Credit Suisse International and Credit Suisse Securities (Europe) Ltd | financial services | internal controls deficiency | 2023 | United Kingdom | $111,708,790 |
Credit Suisse AG | financial services | banking violation | 2014 | United States | $100,000,000 |
Credit Suisse Group AG | financial services | kickbacks and bribery | 2021 | United States | $99,000,000 |
Credit Suisse | financial services | anti-competitive practices | 2021 | European Commission | $94,478,718 |
UBS AG | financial services | anti-competitive practices | 2011 | United 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 AG | financial services | accounting fraud or deficiencies | 2016 | United States | $90,000,000 |
Credit Suisse | financial services | investor protection violation | 2022 | United States | $75,000,000 |
UBS AG | financial services | investor protection violation | 2022 | United States | $75,000,000 |
UBS | financial services | toxic securities abuses | 2016 | United States | $69,800,000 |
UBS AG | financial services | anti-competitive practices | 2018 | United States | $68,000,000 |
Credit Suisse Securities (USA) LLC | financial services | investor protection violation | 2016 | United States | $54,300,000 |
UBS AG | financial services | investor protection violation | 2019 | Hong Kong | $51,095,200 |
Credit Suisse | financial services | toxic securities abuses | 2016 | United States | $50,300,000 |
UBS Securities | financial services | toxic securities abuses | 2013 | United States | $50,000,000 |
UBS AG and UBS Securities Hong Kong Limited | financial services | investor protection violation | 2019 | Hong Kong | $47,776,125 |
UBS AG | financial services | investor protection violation | 2012 | United Kingdom | $47,561,580 |
Credit Suisse (Hong Kong) Limited | financial services | kickbacks and bribery | 2018 | United States | $47,029,916 |
UBS AG | financial services | investor protection violation | 2019 | United Kingdom | $36,494,687 |
Credit Suisse Securities | financial services | investor protection violation | 2016 | United States | $30,000,000 |
Credit Suisse Group AG | financial services | kickbacks and bribery | 2018 | United States | $29,700,000 |
UBS Financial Services Inc. of Puerto Rico | financial services | investor protection violation | 2012 | United States | $26,600,000 |
UBS Financial Services Inc. | financial services | investor protection violation | 2022 | United States | $25,000,000 |
Credit Suisse | financial services | anti-money-laundering deficiencies | 2022 | Switzerland | $21,907,410 |
Credit Suisse | financial services | investor protection violation | 2024 | South Korea | $19,574,152 |
UBS AG | financial services | investor protection violation | 2015 | United States | $19,500,000 |
UBS Financial Services Incorporated of Puerto Rico | financial services | investor protection violation | 2015 | United States | $18,500,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC | financial services | investor protection violation | 2015 | United States | $17,500,000 |
Credit Suisse Securities (USA) LLC | financial services | anti-money-laundering deficiencies | 2016 | United States | $16,500,000 |
UBS | financial services | anti-competitive practices | 2014 | European Commission | $16,152,532 |
UBS Financial Services | financial services | investor protection violation | 2016 | United States | $15,025,882 |
UBS Financial Services Inc. of Puerto Rico | financial services | investor protection violation | 2015 | United States | $15,000,000 |
UBS AG | financial services | investor protection violation | 2018 | United States | $15,000,000 |
UBS AG | financial services | investor protection violation | 2013 | United Kingdom | $14,944,230 |
UBS Securities LLC | financial services | investor protection violation | 2015 | United States | $14,400,000 |
Credit Suisse | financial services | anti-competitive practices | 2021 | European Commission | $14,322,589 |
UBS France | financial services | banking violation | 2013 | France | $13,111,600 |
UBS Securities LLC | financial services | investor protection violation | 2011 | United States | $12,000,000 |
Credit Suisse | financial services | anti-competitive practices | 2014 | European Commission | $11,710,266 |
UBS Financial Services, Inc. | financial services | investor protection violation | 2011 | United States | $10,750,000 |
Credit Suisse Securities (USA) LLC | financial services | investor protection violation | 2018 | United 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 services | investor protection violation | 2020 | United States | $10,000,000 |
Credit Suisse Securities (USA) LLC | financial services | investor protection violation | 2023 | United States | $10,000,000 |
Credit Suisse (UK) Limited | financial services | investor protection violation | 2011 | United Kingdom | $9,516,430 |
Credit Suisse Securities | financial services | investor protection violation | 2022 | United States | $9,000,000 |
UBS AG | financial services | investor protection violation | 2019 | Singapore | $8,218,717 |
UBS Financial Services Inc. | financial services | investor protection violation | 2021 | United States | $8,112,174 |
UBS Securities LLC | financial services | investor protection violation | 2011 | United States | $8,000,000 |
UBS Securities LLC | financial services | investor protection violation | 2010 | United States | $6,640,432 |
Credit Suisse Securities (USA) LLC | financial services | investor protection violation | 2019 | United States | $6,500,000 |
Credit Suisse Securities (USA) LLC | financial services | investor protection violation | 2017 | United States | $5,754,714 |
UBS O'Connor, LLC | financial services | investor protection violation | 2013 | United States | $5,297,716 |
Credit Suisse (Hong Kong) Limited , Credit Suisse Securities (Hong Kong) Limited and Credit Suisse AG | financial services | investor protection violation | 2018 | Hong Kong | $5,026,234 |
Credit Suisse Securities (USA) LLC | financial services | investor protection violation | 2018 | United States | $5,000,000 |
UBS Financial Services Inc. | financial services | investor protection violation | 2018 | United States | $5,000,000 |
UBS Financial Services Inc. | financial services | anti-money-laundering deficiencies | 2018 | United States | $5,000,000 |
UBS Financial Services Inc. and UBS Securities LLC | financial services | anti-money-laundering deficiencies | 2018 | United States | $5,000,000 |
Credit Suisse Securities (USA), LLC | financial services | investor protection violation | 2014 | United States | $5,000,000 |
UBS Financial Services Inc. | financial services | investor protection violation | 2013 | United States | $4,600,000 |
UBS Financial Services, Inc | financial services | investor protection violation | 2013 | United States | $4,580,000 |
Credit Suisse Securities (USA) LLC | financial services | investor protection violation | 2011 | United States | $4,500,000 |
Credit Suisse Securities (USA) LLC | financial services | investor protection violation | 2015 | United States | $4,250,000 |
Credit Suisse International | financial services | investor protection violation | 2014 | United Kingdom | $4,073,892 |
UBS Securities LLC and UBS Financial Services, Inc | financial services | investor protection violation | 2011 | United States | $3,790,487 |
UBS Financial Services, Inc. | financial services | investor protection violation | 2017 | United States | $3,500,000 |
Credit Suisse AG | financial services | investor protection violation | 2023 | Singapore | $2,950,420 |
Credit Suisse Securities (Europe) Limited et al. | financial services | investor protection violation | 2010 | United Kingdom | $2,672,600 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | financial services | investor protection violation | 2011 | United States | $2,500,000 |
UBS Securities LLC | financial services | investor protection violation | 2022 | United States | $2,500,000 |