Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,398,347,522
Number of Records: 7,169
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals 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
Bank of America$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
Company sort icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2005FINRA$1,158,000
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2005FINRA$1,700,000
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2004FINRA$150,000
RBC Mortgage CompanyRoyal Bank of CanadaFalse Claims Act and related2008DOJ_CIVIL$10,710,000
RBS Citizens, National AssociationCitizens Financial Groupbanking violation2015OCC$10,000,000
RBS Citizens, National AssociationCitizens Financial Groupbanking violation2013OCC$7,500,000
RBS Financial ProductsNatWest Group PLCtoxic securities abuses2012NV-AG$42,000,000
RBS Financial Products Inc.NatWest Group PLCtoxic securities abuses2011MA-AG$52,000,000
RBS Financial Products, Inc.NatWest Group PLCtoxic securities abuses2020MD-AG$18,000,000
RBS PLC and RBS Securities JapanNatWest Group PLCinterest rate benchmark manipulation2014DOJ_ANTITRUST$150,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2013SEC$153,700,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2014FHFA$99,500,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2017USAO$44,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2016VA-AG$10,000,000
RBS Securities, Inc.NatWest Group PLCtoxic securities abuses2016CT-AG$120,000,000
RBS Securities, Inc.NatWest Group PLCinvestor protection violation2016FINRA$2,000,000
Regent Insurance Co.QBE Insuranceinsurance violation2019MO-INS$47,500
Regent Insurance Co.QBE Insuranceinsurance violation2003WI-INS$8,500
Regions BankRegions Financialconsumer protection violation2015CFPB$7,500,000
Regions BankRegions Financialbanking violation2014FED$46,000,000
Regions BankRegions Financialinvestor protection violation2010SEC$1,000,001
Regions BankRegions Financialbanking violation2009FED$135,000
Regions BankRegions Financialinvestor protection violation2009SEC$1,000,000
Regions BankRegions FinancialFalse Claims Act and related2016DOJ_CIVIL$52,400,000
Regions BankRegions Financialbanking violation2014AL-SBD$5,000,000
Regions BankRegions Financialenvironmental violation2017TN-ENV$20,750
Regions BankRegions Financialconsumer protection violation2022CFPB$191,000,000
Regions FinancialRegions Financialwage and hour violation2017private lawsuit-federal$620,634
Regions Financial Corp.Regions Financialbenefit plan administrator violation2014private lawsuit-federal$22,500,000
Regions Financial CorporationRegions Financialemployment discrimination2013EEOC$95,000
Regions Financial CorporationRegions FinancialFamily and Medical Leave Act2021WHD$7,210
Reliance Standard Life Insurance Co.Tokio Marineinsurance violation2009KS-INS$6,300
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2007OR-FIN$10,000
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2007OR-FIN$5,000
ReliaStar Insurance Co.Voya Financialinsurance violation2017MN-FIN$5,000
RELIASTAR LIFE INSURANCE COVoya Financialinsurance violation2001VA-INS$9,000
ReliaStar Life Insurance Co.Voya Financialinsurance violation2014MN-FIN$30,000
RELIASTAR LIFE INSURANCE CO.Voya Financialinsurance violation2007VA-INS$8,000
ReliaStar Life Insurance Company of New YorkVoya Financialinsurance violation2020NY-DFS$169,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsaccounting fraud or deficiencies2007SEC$15,000,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpbanking violation2009FDIC$22,000
Republic Bank & Trust CompanyRepublic Bancorpbanking violation2018FDIC$300,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpbanking violation2011FDIC$900,000
Republic Mortgage Insurance CorporationOld Republic Internationalconsumer protection violation2013CFPB$100,000
Republic New York SecuritiesHSBCfraud2001USAO$569,000,000
Republic New York Securities CorporationHSBCinvestor protection violation2001CFTC$5,000,000
Resource Life Insurance Co.Assurantconsumer protection violation2010TX-AG$2,600,000
RESOURCE LIFE INSURANCE CO.Assurantinsurance violation2006VA-INS$18,000
Riggs BankPNC Financial Servicesanti-money-laundering deficiencies2005USAO$16,000,000
Riggs Bank National AssociationPNC Financial Servicesanti-money-laundering deficiencies2004OCC$25,000,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2015CA-INS$800,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2018DE-INS$75,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2011FL-OFR$10,500
RiverSource Life Insurance CompanyAmeriprise Financialinsurance violation2016MULTI-FIN$1,500,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2020SEC$65,000,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2021FINRA$69,600,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2022VT-FIN$640,000
Robinhood Financial, LLCRobinhood Marketsinvestor protection violation2019FINRA$1,250,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021MULTI-AG$500,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021WA-FIN$87,500
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2014CFTC$35,000,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2009DE-AG$22,156
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2013WV-AG$175,000
Royal Bank of Canada (USA)Royal Bank of Canadaenvironmental violation2010GA-ENV$9,375
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2017CA-AG$125,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018IL-AG$20,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018NY-AG$500,000,000
Royal Bank of ScotlandNatWest Group PLCeconomic sanction violation2013NY-DFS$50,000,000
Royal Bank of Scotland Group plcNatWest Group PLCinvestor protection violation2014SEC$120,000
Royal Bank of Scotland Group plcNatWest Group PLCtoxic securities abuses2018DOJ_CIVIL$4,900,000,000
ROYAL BANK OF SCOTLAND PLCNatWest Group PLCbanking violation2015FED$274,000,000
Royal Bank of Scotland plcNatWest Group PLCforeign exchange market manipulation2015DOJ_CRIMINAL$395,000,000
Royal Bank of Scotland plcNatWest Group PLCtoxic securities abuses2015NCUA$129,600,000
Royal Bank of Scotland plcNatWest Group PLCinterest rate benchmark manipulation2014CFTC$290,000,000
Royal Bank of Scotland plcNatWest Group PLCinterest rate benchmark manipulation2013CFTC$325,000,000
Royal Bank of Scotland PLCNatWest Group PLCeconomic sanction violation2013OFAC$33,000,000
Royal Bank of Scotland plcNatWest Group PLCinterest rate benchmark manipulation2017CFTC$85,000,000
Royal Bank of Scotland PLCNatWest Group PLCtoxic securities abuses2017FHFA$5,500,000,000
RR DonnelleyChatham Asset Managementwage and hour violation2020IL-DOL$30,000
RR DONNELLEYChatham Asset Managementenvironmental violation2002PA-ENV$5,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2006OSHA$11,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$6,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$12,435
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2015OSHA$5,500
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$6,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$15,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$12,934
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2022OSHA$12,327
RR DONNELLEY & SONSChatham Asset Managementenvironmental violation2013IL-ENV$5,000
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2006IN-ENV$9,563
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2001IN-ENV$15,800
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2001IN-ENV$9,200
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2001OSHA$5,000
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2014OSHA$6,510
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$5,000
RR DONNELLEY AND SONS INC.Chatham Asset Managementworkplace safety or health violation2015OSHA$10,500
RR DONNELLEY ATLANTAChatham Asset Managementworkplace safety or health violation2014OSHA$6,352
RR DONNELLEY INCChatham Asset Managementworkplace safety or health violation2012OSHA$7,750
RR DONNELLEY RENO OFFSETChatham Asset Managementworkplace safety or health violation2011OSHA$5,024
RR Donnelly & Sons CompanyChatham Asset Managementwage and hour violation2016WHD$104,981
RR DONNELLY COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$17,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.