Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2014 | MSHA | $14,743 |
Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2014 | MSHA | $14,743 |
Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2014 | MSHA | $5,300 |
Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2012 | MSHA | $11,500 |
Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2007 | MSHA | $6,996 |
Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2013 | MSHA | $15,900 |
Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2013 | MSHA | $31,988 |
Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2013 | MSHA | $6,458 |
Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2013 | MSHA | $14,373 |
Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2013 | MSHA | $14,373 |
Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2013 | MSHA | $16,867 |
Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2013 | MSHA | $11,597 |
Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2013 | MSHA | $7,578 |
Veris Gold U.S.A., Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2013 | MSHA | $8,421 |
Veris Gold USA Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2015 | MSHA | $6,458 |
Veris Gold USA Inc. | Sprott Mining | mining and minerals | workplace safety or health violation | 2015 | MSHA | $6,458 |
Scotia Capital Inc. | Scotiabank | financial services | investor protection violation | 2010 | CFTC | $250,000 |
Bank of Nova Scotia | Scotiabank | financial services | investor protection violation | 2018 | CFTC | $800,000 |
The Bank of Nova Scotia | Scotiabank | financial services | investor protection violation | 2020 | CFTC | $50,000,000 |
The Bank of Nova Scotia | Scotiabank | financial services | investor protection violation | 2020 | CFTC | $77,400,000 |
Bank of Nova Scotia | Scotiabank | financial services | price-fixing or anti-competitive practices | 2020 | DOJ_CRIMINAL | $60,400,000 |
Bank of Nova Scotia | Scotiabank | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $12,500,000 |
Bank of Nova Scotia | Scotiabank | financial services | investor protection violation | 2023 | CFTC | $15,000,000 |
Scotia Capital (USA) Inc. | Scotiabank | financial services | investor protection violation | 2023 | SEC | $7,500,000 |
Saputo Cheese USA, Inc., | Saputo | food products | water pollution violation | 2013 | WI-AG | $40,000 |
Morningstar Foods, LLC | Saputo | food products | environmental violation | 2008 | AL-ENV | $18,700 |
Saputo Cheese, USA, Inc. | Saputo | food products | water pollution violation | 2011 | MD-ENV | $10,000 |
Saputo Dairy Foods USA LLC | Saputo | food products | environmental violation | 2016 | MN-ENV | $8,660 |
Saputo Dairy Foods USA, LLC | Saputo | food products | environmental violation | 2017 | NY-ENV | $12,960 |
Saputo Cheese USA Inc. | Saputo | food products | air pollution violation | 2022 | EPA | $170,000 |
SAPUTO CHEESE USA INC. | Saputo | food products | workplace safety or health violation | 2002 | OSHA | $20,065 |
MORNINGSTAR FOODS, INC. | Saputo | food products | workplace safety or health violation | 2002 | OSHA | $9,840 |
SAPUTO CHEESE USA INC | Saputo | food products | workplace safety or health violation | 2006 | OSHA | $7,050 |
MORNINGSTAR FOODS, LLC | Saputo | food products | workplace safety or health violation | 2009 | OSHA | $21,000 |
SAPUTO CHEESE & PROTEIN LLC | Saputo | food products | workplace safety or health violation | 2008 | OSHA | $14,400 |
SAPUTO CHEESE USA, INC. | Saputo | food products | workplace safety or health violation | 2008 | OSHA | $5,600 |
MORNINGSTAR FOODS, LLC. | Saputo | food products | workplace safety or health violation | 2009 | OSHA | $5,465 |
MORNINGSTAR FOODS, INC. | Saputo | food products | workplace safety or health violation | 2011 | OSHA | $7,650 |
MORNINGSTAR FOODS, INC. | Saputo | food products | workplace safety or health violation | 2011 | OSHA | $7,140 |
SAPUTO CHEESE USA, INC. | Saputo | food products | workplace safety or health violation | 2012 | OSHA | $7,000 |
SAPUTO CHEESE USA INC. | Saputo | food products | workplace safety or health violation | 2013 | OSHA | $11,900 |
SAPUTO CHEESE USA INC. | Saputo | food products | workplace safety or health violation | 2013 | OSHA | $7,200 |
SAPUTO CHEESE USA INC | Saputo | food products | workplace safety or health violation | 2013 | OSHA | $5,525 |
SAPUTO CHEESE USA INC. | Saputo | food products | workplace safety or health violation | 2014 | OSHA | $5,810 |
SAPUTO DAIRY FOODS USA, LLC | Saputo | food products | workplace safety or health violation | 2015 | OSHA | $21,000 |
SAPUTO CHEESE USA, INC. | Saputo | food products | workplace safety or health violation | 2016 | OSHA | $10,400 |
SAPUTO CHEESE USA INC. | Saputo | food products | workplace safety or health violation | 2017 | OSHA | $26,000 |
SAPUTO DAIRY FOODS USA, LLC | Saputo | food products | workplace safety or health violation | 2017 | OSHA | $16,120 |
SAPUTO DAIRY FOODS USA, LLC | Saputo | food products | workplace safety or health violation | 2018 | OSHA | $7,760 |
SAPUTO CHEESE USA INC. | Saputo | food products | workplace safety or health violation | 2018 | OSHA | $10,335 |
SAPUTO DAIRY FOODS USA, LLC | Saputo | food products | workplace safety or health violation | 2019 | OSHA | $7,104 |
SAPUTO CHEESE USA INC. | Saputo | food products | workplace safety or health violation | 2019 | OSHA | $23,000 |
SAPUTO DAIRY FOODS USA, LLC | Saputo | food products | workplace safety or health violation | 2019 | OSHA | $30,841 |
SAPUTO CHEESE USA INC. | Saputo | food products | workplace safety or health violation | 2019 | OSHA | $8,400 |
SAPUTO DAIRY FOODS USA, LLC | Saputo | food products | workplace safety or health violation | 2019 | OSHA | $19,000 |
SAPUTO DAIRY FOODS USA LLC | Saputo | food products | workplace safety or health violation | 2021 | OSHA | $8,160 |
SAPUTO DAIRY FOODS USA, LLC | Saputo | food products | workplace safety or health violation | 2021 | OSHA | $6,242 |
SAPUTO DAIRY FOODS USA, LLC | Saputo | food products | workplace safety or health violation | 2021 | OSHA | $6,000 |
SAPUTO DAIRY FOODS USA, LLC | Saputo | food products | workplace safety or health violation | 2023 | OSHA | $7,366 |
SAPUTO INC. | Saputo | food products | workplace safety or health violation | 2023 | OSHA | $5,200 |
Saputo Dairy Foods | Saputo | food products | water pollution violation | 2023 | EPA | $225,000 |
MORNINGSTAR FOODS, INC. | Saputo | food products | environmental violation | 2000 | EPA | $16,500 |
Steven M Douglas | Saputo | food products | air pollution violation | 2022 | EPA | $170,000 |
SAPUTO CHEESE | Saputo | food products | environmental violation | 2001 | EPA | $10,943 |
City National Bank | Royal Bank of Canada | financial services | banking violation | 2010 | OCC | $5,250 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2011 | SEC | $30,400,000 |
Royal Bank of Canada | Royal Bank of Canada | financial services | investor protection violation | 2014 | CFTC | $35,000,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2015 | SEC | $500,000 |
RBC Mortgage Company | Royal Bank of Canada | financial services | False Claims Act and related | 2008 | DOJ_CIVIL | $10,710,000 |
City National Bank | Royal Bank of Canada | financial services | banking violation | 2005 | OCC | $750,000 |
RBC Dain Rauscher Inc | Royal Bank of Canada | financial services | investor protection violation | 2006 | SEC | $1,500,000 |
Dain Rauscher Incorporated | Royal Bank of Canada | financial services | investor protection violation | 2000 | SEC | $12,941,191 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2016 | SEC | $2,500,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2009 | SEC | $125,000 |
Ferris, Baker Watts, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2009 | SEC | $800,656 |
RBC Dain Rauscher Incorporated | Royal Bank of Canada | financial services | investor protection violation | 2002 | SEC | $500,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2019 | SEC | $11,715,395 |
RBC Capital Markets Corp. | Royal Bank of Canada | financial services | investor protection violation | 2010 | NJ-AG | $51,724 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2008 | MULTI-AG | $859,800,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2013 | NJ-AG | $450,000 |
Royal Bank of Canada | Royal Bank of Canada | financial services | investor protection violation | 2009 | DE-AG | $22,156 |
Royal Bank of Canada | Royal Bank of Canada | financial services | price-fixing or anti-competitive practices | 2013 | WV-AG | $175,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2019 | CFTC | $5,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2020 | SEC | $3,889,007 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2013 | AK-DBS | $44,370 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2013 | CA-DFPI | $33,520 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2012 | MA-SEC | $250,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2012 | MT-FIN | $186,439 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | 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. $9,800,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2014 | MULTI-FIN | $2,800,000 |
Royal Bank of Canada (USA) | Royal Bank of Canada | financial services | water pollution violation | 2010 | GA-ENV | $9,375 |
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. | Royal Bank of Canada | financial services | investor protection violation | 2016 | FINRA | $3,500,000 |
RBC Capital Markets | Royal Bank of Canada | financial services | investor protection violation | 2015 | FINRA | $1,434,000 |
Ferris, Baker Watts LLC | Royal Bank of Canada | financial services | investor protection violation | 2010 | FINRA | $690,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2010 | FINRA | $135,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2009 | FINRA | $400,000 |
RBC Capital Markets Corp. | Royal Bank of Canada | financial services | investor protection violation | 2008 | FINRA | $150,000 |
RBC Dain Rauscher Inc. | Royal Bank of Canada | financial services | investor protection violation | 2006 | FINRA | $250,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2005 | FINRA | $2,108,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2005 | FINRA | $1,158,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2005 | FINRA | $1,700,000 |