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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Raymond James & AssociatesRaymond James Financialinvestor protection violation2016SEC$600,000
Morgan Keegan and Co. Inc.Raymond James Financialbenefit plan administrator violation2012EBSA$633,715
Morgan Keegan & Co., Inc.Raymond James Financialinvestor protection violation2006SEC$558,806
Raymond James Financial Services Advisors, Inc.Raymond James Financialinvestor protection violation2019SEC$6,877,048
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011NJ-AG$35,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2019SEC$15,000,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2005AL-SEC$100,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2010AL-SEC$15,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2017AL-SEC$20,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2012AR-SEC$59,659
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2010CT-SEC$15,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015IN-SEC$475,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2020MI-SEC$50,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2009MO-SEC$52,300
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2016MO-SEC$850,000
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2007MS-SEC$12,500
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2017PA-BKG$125,000
Morgan Keegan & Co. Inc.Raymond James Financialinvestor protection violation2010RI-FIN$20,000
Raymond James and Associates Inc.Raymond James Financialinvestor protection violation2016VT-FIN$4,200,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2007WI-FIN$50,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2013MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2011MULTI-FIN$1,750,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2019FINRA$8,000,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2017FINRA$2,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialanti-money-laundering deficiencies2016FINRA$17,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2015FINRA$8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011FINRA$2,115,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2009FINRA$1,000,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2007FINRA$2,750,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2005FINRA$90,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2005FINRA$888,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2004FINRA$400,000
Raymond James & Associates Inc.Raymond James Financialinvestor protection violation2000FINRA$3,410,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SEC$500,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SC-SEC$50,000
Raymond James FinancialRaymond James Financialconsumer protection violation2019private lawsuit-federal$15,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2023MO-SEC$150,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2023MULTI-FIN$12,450,000
Raymond James & AssociatesRaymond James Financialwage and hour violation2020MI-LEO$29,361
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
AmSouth BankRegions Financialinvestor protection violation2008SEC$11,400,000
AmSouthRegions Financialanti-money-laundering deficiencies2004FINCEN$10,000,000
Regions BankRegions FinancialFalse Claims Act and related2016DOJ_CIVIL$52,400,000
Regions Financial CorporationRegions Financialemployment discrimination2013EEOC$95,000
AmSouth BancorporationRegions Financialfraud2004USAO$40,000,000
Regions FinancialRegions Financialwage and hour violation2017private lawsuit-federal$620,634
Regions Financial Corp.Regions Financialbenefit plan administrator violation2014private lawsuit-federal$22,500,000
Regions BankRegions Financialbanking violation2014AL-SBD$5,000,000
AmSouth Investment Services, Inc.Regions Financialinvestor protection violation2004MS-SEC$225,000
AmSouth Investment Services Inc.Regions Financialinvestor protection violation2004MULTI-FIN$225,000
Regions BankRegions Financialenvironmental violation2017TN-ENV$20,750
Regions Financial CorporationRegions FinancialFamily and Medical Leave Act2021WHD$7,210
Regions BankRegions Financialconsumer protection violation2022CFPB$191,000,000
Regions BankRegions Financialbanking violation2023FED$2,950,000
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
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2020SEC$65,000,000
Robinhood Financial, LLCRobinhood Marketsinvestor protection violation2019FINRA$1,250,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2021FINRA$69,600,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2022VT-FIN$640,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2023MULTI-FIN$10,200,000
Robinhood Financial LLCRobinhood Marketsprivacy violation2023private lawsuit-federal$20,000,000
Robinhood Financial LLCRobinhood Marketsconsumer protection violation2023private lawsuit-federal$9,900,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2024MA-SEC$7,500,000
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2018AK-DBS$11,000
Quicken Loans, Inc.Rocket Companies Inc.consumer protection violation2011IL-BKG$75,000
Quicken Loans, Inc. and One Reverse Mortgage, LLCRocket Companies Inc.consumer protection violation2018MA-BKG$250,000
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2011OH-BKG$35,000
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2016WA-FIN$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
Quicken LoansRocket Companies Inc.wage and hour violation2019MI-LEO$10,500
Quicken LoansRocket Companies Inc.wage and hour violation2015MI-LEO$8,000
City National BankRoyal Bank of Canadabanking violation2010OCC$5,250
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2011SEC$30,400,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2014CFTC$35,000,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2015SEC$500,000
RBC Mortgage CompanyRoyal Bank of CanadaFalse Claims Act and related2008DOJ_CIVIL$10,710,000
City National BankRoyal Bank of Canadabanking violation2005OCC$750,000
RBC Dain Rauscher IncRoyal Bank of Canadainvestor protection violation2006SEC$1,500,000
Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2000SEC$12,941,191
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2016SEC$2,500,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2009SEC$125,000
Ferris, Baker Watts, Inc.Royal Bank of Canadainvestor protection violation2009SEC$800,656
RBC Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2002SEC$500,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019SEC$11,715,395
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2010NJ-AG$51,724
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2008MULTI-AG$859,800,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013NJ-AG$450,000
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
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019CFTC$5,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2020SEC$3,889,007
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013AK-DBS$44,370
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013CA-DFPI$33,520
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.