Raymond James and Associates Inc. | Raymond James Financial | investor protection violation | 2016 | VT-FIN | $4,200,000 |
Raymond James Financial | Raymond James Financial | consumer protection violation | 2019 | private lawsuit-federal | $15,000,000 |
Raymond James Financial Services Advisors, Inc. | Raymond James Financial | investor protection violation | 2019 | SEC | $6,877,048 |
Raymond James Financial Services Inc. | Raymond James Financial | investor protection violation | 2017 | PA-BKG | $125,000 |
Raymond James Financial Services Inc. | Raymond James Financial | investor protection violation | 2007 | FINRA | $2,750,000 |
Raymond James Financial Services Inc. | Raymond James Financial | investor protection violation | 2004 | FINRA | $400,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2004 | SEC | $2,595,129 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2011 | NJ-AG | $35,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2010 | CT-SEC | $15,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2009 | MO-SEC | $52,300 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2007 | WI-FIN | $50,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2017 | FINRA | $2,000,000 |
RBC Capital Markets | Royal Bank of Canada | investor protection violation | 2015 | FINRA | $1,434,000 |
RBC Capital Markets Corp. | Royal Bank of Canada | investor protection violation | 2010 | NJ-AG | $51,724 |
RBC Capital Markets Corp. | Royal Bank of Canada | investor protection violation | 2008 | FINRA | $150,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2009 | SEC | $125,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2008 | MULTI-AG | $859,800,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | 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 Corporation | Royal Bank of Canada | investor protection violation | 2010 | FINRA | $135,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2009 | FINRA | $400,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2005 | FINRA | $2,108,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2011 | SEC | $30,400,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2016 | SEC | $2,500,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2020 | SEC | $3,889,007 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2021 | SEC | $863,326 |
RBC Capital Markets LLC | Royal Bank of Canada | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $15,500,000 |
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. | Royal Bank of Canada | investor protection violation | 2016 | FINRA | $3,500,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2015 | SEC | $500,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2019 | SEC | $11,715,395 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2013 | NJ-AG | $450,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2019 | CFTC | $5,000,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2013 | AK-DBS | $44,370 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2013 | CA-DFPI | $33,520 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2012 | MA-SEC | $250,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2012 | MT-FIN | $186,439 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2014 | MULTI-FIN | $2,800,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2021 | VA-SEC | $10,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2023 | VA-SEC | $11,000 |
RBC Dain Rauscher Inc | Royal Bank of Canada | investor protection violation | 2006 | SEC | $1,500,000 |
RBC Dain Rauscher Inc. | Royal Bank of Canada | investor protection violation | 2006 | FINRA | $250,000 |
RBC Dain Rauscher Incorporated | Royal Bank of Canada | investor protection violation | 2002 | SEC | $500,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | investor protection violation | 2005 | FINRA | $1,158,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | investor protection violation | 2005 | FINRA | $1,700,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | investor protection violation | 2004 | FINRA | $150,000 |
RBC Mortgage Company | Royal Bank of Canada | False Claims Act and related | 2008 | DOJ_CIVIL | $10,710,000 |
RBS Citizens, National Association | Citizens Financial Group | banking violation | 2015 | OCC | $10,000,000 |
RBS Citizens, National Association | Citizens Financial Group | banking violation | 2013 | OCC | $7,500,000 |
RBS Financial Products | NatWest Group PLC | toxic securities abuses | 2012 | NV-AG | $42,000,000 |
RBS Financial Products Inc. | NatWest Group PLC | toxic securities abuses | 2011 | MA-AG | $52,000,000 |
RBS Financial Products Inc. | NatWest Group PLC | consumer protection violation | 2013 | private lawsuit-federal | $1,750,000 |
RBS Financial Products, Inc. | NatWest Group PLC | toxic securities abuses | 2020 | MD-AG | $18,000,000 |
RBS PLC and RBS Securities Japan | NatWest Group PLC | price-fixing or anti-competitive practices | 2014 | DOJ_ANTITRUST | $150,000,000 |
RBS Securities Inc. | NatWest Group PLC | toxic securities abuses | 2013 | SEC | $153,700,000 |
RBS Securities Inc. | NatWest Group PLC | toxic securities abuses | 2014 | FHFA | $99,500,000 |
RBS Securities Inc. | NatWest Group PLC | toxic securities abuses | 2017 | USAO | $44,000,000 |
RBS Securities Inc. | NatWest Group PLC | toxic securities abuses | 2016 | VA-AG | $10,000,000 |
RBS Securities Inc. | NatWest Group PLC | consumer protection violation | 2015 | private lawsuit-federal | $10,571,428 |
RBS Securities, Inc. | NatWest Group PLC | toxic securities abuses | 2016 | CT-AG | $120,000,000 |
RBS Securities, Inc. | NatWest Group PLC | investor protection violation | 2016 | FINRA | $2,000,000 |
Regent Insurance Co. | QBE Insurance | insurance violation | 2019 | MO-INS | $47,500 |
Regent Insurance Co. | QBE Insurance | insurance violation | 2003 | WI-INS | $8,500 |
Regions Bank | Regions Financial | consumer protection violation | 2015 | CFPB | $7,500,000 |
Regions Bank | Regions Financial | banking violation | 2014 | FED | $46,000,000 |
Regions Bank | Regions Financial | investor protection violation | 2010 | SEC | $1,000,001 |
Regions Bank | Regions Financial | banking violation | 2009 | FED | $135,000 |
Regions Bank | Regions Financial | investor protection violation | 2009 | SEC | $1,000,000 |
Regions Bank | Regions Financial | False Claims Act and related | 2016 | DOJ_CIVIL | $52,400,000 |
Regions Bank | Regions Financial | banking violation | 2014 | AL-SBD | $5,000,000 |
Regions Bank | Regions Financial | environmental violation | 2017 | TN-ENV | $20,750 |
Regions Bank | Regions Financial | consumer protection violation | 2022 | CFPB | $191,000,000 |
Regions Bank | Regions Financial | banking violation | 2023 | FED | $2,950,000 |
Regions Financial | Regions Financial | wage and hour violation | 2017 | private lawsuit-federal | $620,634 |
Regions Financial Corp. | Regions Financial | benefit plan administrator violation | 2014 | private lawsuit-federal | $22,500,000 |
Regions Financial Corporation | Regions Financial | employment discrimination | 2013 | EEOC | $95,000 |
Regions Financial Corporation | Regions Financial | Family and Medical Leave Act | 2021 | WHD | $7,210 |
Reliance Standard Life Insurance Co. | Tokio Marine | insurance violation | 2009 | KS-INS | $6,300 |
Reliance Standard Life Insurance Company | Tokio Marine | insurance violation | 2007 | OR-FIN | $10,000 |
Reliance Standard Life Insurance Company | Tokio Marine | insurance violation | 2007 | OR-FIN | $5,000 |
Reliance Standard Life Insurance Company | Tokio Marine | insurance violation | 2022 | CT-INS | $9,000 |
ReliaStar Insurance Co. | Voya Financial | insurance violation | 2017 | MN-FIN | $5,000 |
RELIASTAR LIFE INSURANCE CO | Voya Financial | insurance violation | 2001 | VA-INS | $9,000 |
ReliaStar Life Insurance Co. | Voya Financial | insurance violation | 2014 | MN-FIN | $30,000 |
RELIASTAR LIFE INSURANCE CO. | Voya Financial | insurance violation | 2007 | VA-INS | $8,000 |
ReliaStar Life Insurance Company of New York | Voya Financial | insurance violation | 2020 | NY-DFS | $169,000 |
RenaissanceRe Holdings Ltd. | RenaissanceRe Holdings | accounting fraud or deficiencies | 2007 | SEC | $15,000,000 |
REPUBLIC BANK & TRUST COMPANY | Republic Bancorp | banking violation | 2009 | FDIC | $22,000 |
Republic Bank & Trust Company | Republic Bancorp | banking violation | 2018 | FDIC | $300,000 |
REPUBLIC BANK & TRUST COMPANY | Republic Bancorp | banking violation | 2011 | FDIC | $900,000 |
Republic Mortgage Insurance Corporation | Old Republic International | consumer protection violation | 2013 | CFPB | $100,000 |
Republic New York Securities | HSBC | fraud | 2001 | USAO | $569,000,000 |
Republic New York Securities Corporation | HSBC | investor protection violation | 2001 | CFTC | $5,000,000 |
Resource Life Insurance Co. | Assurant | consumer protection violation | 2010 | TX-AG | $2,600,000 |
RESOURCE LIFE INSURANCE CO. | Assurant | insurance violation | 2006 | VA-INS | $18,000 |
Riggs Bank | PNC Financial Services | anti-money-laundering deficiencies | 2005 | USAO | $16,000,000 |
Riggs Bank National Association | PNC Financial Services | anti-money-laundering deficiencies | 2004 | OCC | $25,000,000 |
RiverSource Life Insurance Co. | Ameriprise Financial | insurance violation | 2015 | CA-INS | $800,000 |
RiverSource Life Insurance Co. | Ameriprise Financial | insurance violation | 2018 | DE-INS | $75,000 |
RiverSource Life Insurance Co. | Ameriprise Financial | insurance violation | 2011 | FL-OFR | $10,500 |
Riversource Life Insurance Co. and Riversource Life Insurance Co. of New York | Ameriprise Financial | insurance violation | 2017 | MN-FIN | $1,500,000 |
RiverSource Life Insurance Company | Ameriprise Financial | insurance violation | 2016 | MULTI-FIN | $1,500,000 |
Riversource Life Insurance Company | Ameriprise Financial | insurance violation | 2023 | WA-INS | $59,613 |