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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 Type sort iconYearAgencyPenalty Amount
John Hancock Life Insurance CompanyManulife Financialfinancial servicesinsurance violation2023RI-FIN$95,000
Standard Life and Accident Insurance CompanyBrookfield Corporationdiversifiedinsurance violation2023MD-INS$50,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialfinancial servicesinsurance violation2023VA-INS$8,800
SUN LIFE ASSURANCE COMPANY OF CANADASun Life Financialfinancial servicesinsurance violation2024WA-INS$5,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011SEC$30,400,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesinvestor protection violation2014CFTC$35,000,000
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
Scotia Capital Inc.Scotiabankfinancial servicesinvestor protection violation2010CFTC$250,000
Manulife Financial CorporationManulife Financialfinancial servicesinvestor protection violation2004DOJ_ANTITRUST$1,000,000
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
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2003SEC$917,858
SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2003SEC$5,000,000
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
Davisco Foods International, Inc.Agropurfood productsinvestor protection violation2017CFTC$150,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2016SEC$500,000
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
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2018CFTC$800,000
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
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
John Hancock Life Insurance Co.Manulife Financialfinancial servicesinvestor protection violation2014MA-AG$550,000
Massachusetts Financial Services Co.Sun Life Financialfinancial servicesinvestor protection violation2004NY-AG$350,000,000
Omega Protein CorporationCooke Inc.food productsinvestor protection violation2019SEC$400,000
RBC Capital Markets Corp.Royal Bank of Canadafinancial servicesinvestor protection violation2010NJ-AG$51,724
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2008MULTI-AG$859,800,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2013NJ-AG$450,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesinvestor protection violation2009DE-AG$22,156
Valeant Pharmaceuticals International, Inc.Bausch Healthpharmaceuticalsinvestor protection violation2017MULTI-AG$145,000,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019CFTC$5,000,000
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
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2013AK-DBS$44,370
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2013CA-DFPI$33,520
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2012MA-SEC$250,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2012MT-FIN$186,439
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2008MULTI-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, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2014MULTI-FIN$2,800,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020CFTC$50,000,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020CFTC$77,400,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008FINRA$350,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadafinancial servicesinvestor protection violation2016FINRA$3,500,000
RBC Capital MarketsRoyal Bank of Canadafinancial servicesinvestor protection violation2015FINRA$1,434,000
Ferris, Baker Watts LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2010FINRA$690,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2010FINRA$135,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009FINRA$400,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008FINRA$200,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2008FINRA$150,000
Cowen and Company, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2008FINRA$150,000
RBC Capital Markets Corp.Royal Bank of Canadafinancial servicesinvestor protection violation2008FINRA$150,000
RBC Dain Rauscher Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2006FINRA$250,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2005FINRA$2,108,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2005FINRA$1,158,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005FINRA$40,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2005FINRA$1,700,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2004FINRA$150,000
SG Cowen, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2004FINRA$800,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004FINRA$150,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021SEC$863,326
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021VA-SEC$10,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2022SEC$152,955
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2023CFTC$15,000,000
Scotia Capital (USA) Inc.Scotiabankfinancial servicesinvestor protection violation2023SEC$7,500,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2023VA-SEC$11,000
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023CFTC$35,000,000
BMO Capital Markets CorpBank of Montrealfinancial servicesinvestor protection violation2023SEC$25,000,000
Salix Pharmaceuticals Inc.Bausch Healthpharmaceuticalskickbacks and bribery2016USAO$54,000,000
Biovail Pharmaceuticals Inc.Bausch Healthpharmaceuticalskickbacks and bribery2009USAO$24,647,876
Salix Pharmaceuticals Inc.Bausch Healthpharmaceuticalskickbacks and bribery2016MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $7,470,000
Johnson Controls Battery Group, Inc., a subsidiary of Johnson Controls, Inc.Brookfield Corporationdiversifiedlabor relations violation2016NLRB$65,106
UPS FreightTFI Internationalfreight and logisticslabor relations violation2012NLRB$23,676
Cascades Boxboard, LLCCascades Inc.paper and packaginglabor relations violation2010NLRB$16,021
Westinghouse Electric Company, Energy CenterBrookfield Corporationdiversifiedlabor relations violation2010NLRB$80,000
UPS FreightTFI Internationalfreight and logisticslabor relations violation2009NLRB$10,000
Sunrise Senior Living, Inc.Reverahealthcare serviceslabor relations violation2009NLRB$46,656
UPS FreightTFI Internationalfreight and logisticslabor relations violation2009NLRB$10,695
UPS AND UPS FREIGHTTFI Internationalfreight and logisticslabor relations violation2008NLRB$5,000
Ports America Baltimore, Inc.Brookfield Corporationdiversifiedlabor relations violation2007NLRB$7,080
Washington Gas Light CompanyAltaGasutilities and power generationlabor relations violation2007NLRB$150,000
COLUMBIA GAS TRANSMISSION; COLUMBIA OF KENTUCKY; COLUMBIA OF OHIOTC Energypipelineslabor relations violation2007NLRB$43,000
Norampac Industries, Inc.Cascades Inc.paper and packaginglabor relations violation2006NLRB$30,000
TD BanknorthToronto-Dominion Bankfinancial serviceslabor relations violation2006NLRB$5,000
Tampa Electric CompanyEmerautilities and power generationlabor relations violation2006NLRB$269,518
Sunrise Senior Living, Inc.Reverahealthcare serviceslabor relations violation2006NLRB$43,893
Sunrise Assisted LivingReverahealthcare serviceslabor relations violation2006NLRB$32,194
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.