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Violation Tracker Current Parent Headquarters Summary Page

HQ Country: Canada
Current Parent Penalty Total since 2000: $5,979,301,281
Number of Records: 3,982
Note: The totals here are derived only from entries matched to parent companies. They are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Royal Bank of Canada$1,143,468,40947
Bausch Health$795,555,37827
BC Hydro$750,037,0003
Sun Life Financial$631,219,10312
Toronto-Dominion Bank$575,897,03534
Manulife Financial$319,190,76429
Enbridge$283,876,316116
Scotiabank$223,850,0008
Canadian Imperial Bank of Commerce$206,086,5987
Nutrien Ltd.$201,530,846189

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgency sort iconPenalty Amount
Circle K Stores Inc dba Circle K No 2723631Couche-Tardretailingwater pollution violation2013TN-ENV$7,000
Circle K #22100007Couche-Tardretailingunderground storage tank violation2012TN-ENV$37,300
Ritchie Bros. Auctioneers (America) Inc.Ritchie Bros. Auctioneersmiscellaneous servicesair pollution violation2009TN-ENV$9,235
Ritchie Bros. Auctioneers (America) Inc.Ritchie Bros. Auctioneersmiscellaneous servicesair pollution violation2008TN-ENV$8,470
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011SEC$30,400,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2015SEC$500,000
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$107,424,429
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$15,000,000
Biovail CorporationBausch Healthpharmaceuticalsaccounting fraud or deficiencies2008SEC$10,000,000
RBC Dain Rauscher IncRoyal Bank of Canadafinancial servicesinvestor protection violation2006SEC$1,500,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005SEC$125,000,000
Oaktree Capital Management, LLCBrookfield Corporationdiversifiedinvestor protection violation2005SEC$345,701
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004SEC$2,000,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2004SEC$125,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2004SEC$50,000,000
Massachusetts Financial Services Co.Sun Life Financialfinancial servicesinvestor protection violation2004SEC$225,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesaccounting fraud or deficiencies2003SEC$80,000,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2003SEC$917,858
SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2003SEC$5,000,000
ICN Pharmaceuticals, Inc.Bausch Healthpharmaceuticalsaccounting fraud or deficiencies2002SEC$1,000,000
Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2000SEC$12,941,191
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2016SEC$2,500,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2016SEC$500,000
Kinross Gold CorporationKinross Goldmining and mineralsForeign Corrupt Practices Act2018SEC$950,000
Oaktree Capital Management, L.P.Brookfield Corporationdiversifiedinvestor protection violation2018SEC$100,000
TD Options LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2009SEC$1,000,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009SEC$125,000
Ferris, Baker Watts, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2009SEC$800,656
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2018SEC$1,900,000
Convergex Execution Solutions LLCToronto-Dominion Bankfinancial servicesdata submission deficiencies2018SEC$2,750,000
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007SEC$19,787,879
CIBC World Markets CorporationCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005SEC$496,598
RBC Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2002SEC$500,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019SEC$11,715,395
BMO Capital Markets CorporationBank of Montrealfinancial servicesinvestor protection violation2019SEC$3,946,000
Omega Protein CorporationCooke Inc.food productsinvestor protection violation2019SEC$400,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealfinancial servicesinvestor protection violation2019SEC$37,980,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2019SEC$1,950,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2020SEC$3,889,007
Bausch HealthBausch Healthpharmaceuticalsaccounting fraud or deficiencies2020SEC$45,000,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021SEC$863,326
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2022SEC$152,955
Scotia Capital (USA) Inc.Scotiabankfinancial servicesinvestor protection violation2023SEC$7,500,000
BMO Capital Markets CorpBank of Montrealfinancial servicesinvestor protection violation2023SEC$25,000,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesaccounting fraud or deficiencies2023SEC$6,000,000
Standard Life & Accident Insurance CompanyBrookfield Corporationdiversifiedinsurance violation2016SD-INS$10,000
AgropurAgropurfood productsenvironmental violation2020SD-ENV$5,000
AgropurAgropurfood productsenvironmental violation2020SD-ENV$23,000
AgropurAgropurfood productsenvironmental violation2020SD-ENV$5,500
AgropurAgropurfood productsenvironmental violation2020SD-ENV$10,500
AgropurAgropurfood productsenvironmental violation2020SD-ENV$5,500
AgropurAgropurfood productsenvironmental violation2020SD-ENV$9,000
AgropurAgropurfood productsenvironmental violation2020SD-ENV$5,000
AgropurAgropurfood productsenvironmental violation2019SD-ENV$8,500
Davisco Foods InternationalAgropurfood productsenvironmental violation2005SD-ENV$42,681
United States Fire Insurance CompanyFairfax Financial Holdingsfinancial servicesinsurance violation2012SC-INS$10,000
NORBORD SOUTH CAROLINA, INC.West Fraser Timberbuilding materialsair pollution violation2006SC-ENV$14,000
NORBORD SOUTH CAROLINA, INC.West Fraser Timberbuilding materialsair pollution violation2003SC-ENV$76,500
Johnson Controls Battery Group, Inc.Brookfield Corporationdiversifiedhazardous waste violation2018SC-ENV$38,000
Johnson Controls Battery Group, Inc.Brookfield Corporationdiversifiedair pollution violation2018SC-ENV$8,500
Johnson Controls Battery Group, Inc.Brookfield Corporationdiversifiedair pollution violation2017SC-ENV$7,500
Johnson Controls Battery Group, Inc.Brookfield Corporationdiversifiedhazardous waste violation2017SC-ENV$10,000
Johnson Controls Battery Group, Inc.Brookfield Corporationdiversifiedhazardous waste violation2016SC-ENV$35,000
Johnson Controls Battery Group, Inc.Brookfield Corporationdiversifiedair pollution violation2015SC-ENV$250,000
Johnson Controls Battery GroupBrookfield Corporationdiversifiedhazardous waste violation2015SC-ENV$15,000
Johnson Controls Battery Group, Inc.Brookfield Corporationdiversifiedhazardous waste violation2014SC-ENV$7,700
Clarios, LLCBrookfield Corporationdiversifiedenvironmental violation2021SC-ENV$6,600
Clarios, LLCBrookfield Corporationdiversifiedenvironmental violation2022SC-ENV$12,000
Circle K Stores, Inc.Couche-Tardretailingenvironmental violation2023SC-ENV$11,700
John Hancock Life and Health Insurance CompanyManulife Financialfinancial servicesinsurance violation2020RI-FIN$44,877
United States Fire Insurance CompanyFairfax Financial Holdingsfinancial servicesinsurance violation2022RI-FIN$10,000
John Hancock Life Insurance CompanyManulife Financialfinancial servicesinsurance violation2023RI-FIN$95,000
Sprague Operating Resources LLCBrookfield Corporationdiversifiedenvironmental violation2019RI-ENV$22,500
Overnite Transportation Co.TFI Internationalfreight and logisticsenvironmental violation2005RI-ENV$13,040
Sprague Operating Resources LLCBrookfield Corporationdiversifiedenvironmental violation2021RI-ENV$15,000
Sprague Operating Resources LLCBrookfield Corporationdiversifiedenvironmental violation2022RI-ENV$20,000
Irving Oil Ltd. and Highlands Fuel DeliveryIrving Oiloil and gasMTBE violation2022RI-AG$625,000
ALGONQUIN GAS TRANSMISSION CO (SPECTRA ENERGY CORP)Enbridgepipelinespipeline safety violation2010PHMSA$85,700
ALGONQUIN GAS TRANSMISSION CO (SPECTRA ENERGY CORP)Enbridgepipelinespipeline safety violation2010PHMSA$69,000
ANR PIPELINE COTC Energypipelinespipeline safety violation2011PHMSA$52,800
ANR PIPELINE COTC Energypipelinespipeline safety violation2011PHMSA$33,100
CALUMET SUPERIOR LLCCenovus Energyoil and gaspipeline safety violation2011PHMSA$151,250
COLUMBIA GAS TRANSMISSION LLCTC Energypipelinespipeline safety violation2012PHMSA$197,900
COLUMBIA GAS TRANSMISSION LLCTC Energypipelinespipeline safety violation2011PHMSA$67,800
COLUMBIA GAS TRANSMISSION LLCTC Energypipelinespipeline safety violation2010PHMSA$29,600
COLUMBIA GAS TRANSMISSION LLCTC Energypipelinespipeline safety violation2013PHMSA$29,000
COLUMBIA GAS TRANSMISSION LLCTC Energypipelinespipeline safety violation2014PHMSA$28,800
COLUMBIA GAS TRANSMISSION LLCTC Energypipelinespipeline safety violation2012PHMSA$28,700
COLUMBIA GAS TRANSMISSION LLCTC Energypipelinespipeline safety violation2013PHMSA$24,400
ENBRIDGE ENERGY LIMITED PARTNERSHIPEnbridgepipelinespipeline safety violation2012PHMSA$3,699,200
ENBRIDGE ENERGY LIMITED PARTNERSHIPEnbridgepipelinespipeline safety violation2012PHMSA$112,500
ENBRIDGE PIPELINES (OZARK) L.L.C.Enbridgepipelinespipeline safety violation2010PHMSA$28,800
ENBRIDGE PIPELINES (TOLEDO) INCEnbridgepipelinespipeline safety violation2012PHMSA$68,600
GREAT LAKES GAS TRANSMISSION COTC Energypipelinespipeline safety violation2011PHMSA$28,700
MARITIMES & NORTHEAST PIPELINE LLC(SPECTRA ENERGY CORP)Enbridgepipelinespipeline safety violation2014PHMSA$34,500
NORTH BAJA PIPELINE LLCTC Energypipelinespipeline safety violation2011PHMSA$16,200
TEXAS EASTERN TRANSMISSION LP (SPECTRA ENERGY CORP)Enbridgepipelinespipeline safety violation2012PHMSA$134,500
TEXAS EASTERN TRANSMISSION LP (SPECTRA ENERGY CORP)Enbridgepipelinespipeline safety violation2013PHMSA$96,200
TEXAS EASTERN TRANSMISSION LP (SPECTRA ENERGY CORP)Enbridgepipelinespipeline safety violation2013PHMSA$87,100
TEXAS EASTERN TRANSMISSION LP (SPECTRA ENERGY CORP)Enbridgepipelinespipeline safety violation2013PHMSA$41,200
TEXAS EASTERN TRANSMISSION LP (SPECTRA ENERGY CORP)Enbridgepipelinespipeline safety violation2011PHMSA$19,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.