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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Raymond James and Associates Inc.Raymond James Financialinvestor protection violation2016VT-FIN$4,200,000
Raymond James FinancialRaymond James Financialconsumer protection violation2019private lawsuit-federal$15,000,000
Raymond James Financial Services Advisors, Inc.Raymond James Financialinvestor protection violation2019SEC$6,877,048
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2017PA-BKG$125,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2007FINRA$2,750,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2004FINRA$400,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2004SEC$2,595,129
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011NJ-AG$35,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2010CT-SEC$15,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2009MO-SEC$52,300
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2007WI-FIN$50,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2017FINRA$2,000,000
RBC Capital MarketsRoyal Bank of Canadainvestor protection violation2015FINRA$1,434,000
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2010NJ-AG$51,724
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2008FINRA$150,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2009SEC$125,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2008MULTI-AG$859,800,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor 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 CorporationRoyal Bank of Canadainvestor protection violation2010FINRA$135,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2009FINRA$400,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2005FINRA$2,108,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2011SEC$30,400,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2016SEC$2,500,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2020SEC$3,889,007
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2021SEC$863,326
RBC Capital Markets LLCRoyal Bank of Canadaprice-fixing or anti-competitive practices2018private lawsuit-federal$15,500,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadainvestor protection violation2016FINRA$3,500,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2015SEC$500,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019SEC$11,715,395
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013NJ-AG$450,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019CFTC$5,000,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013AK-DBS$44,370
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013CA-DFPI$33,520
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2012MA-SEC$250,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2012MT-FIN$186,439
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2014MULTI-FIN$2,800,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2021VA-SEC$10,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2023VA-SEC$11,000
RBC Dain Rauscher IncRoyal Bank of Canadainvestor protection violation2006SEC$1,500,000
RBC Dain Rauscher Inc.Royal Bank of Canadainvestor protection violation2006FINRA$250,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2002SEC$500,000
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 PLCconsumer protection violation2013private lawsuit-federal$1,750,000
RBS Financial Products, Inc.NatWest Group PLCtoxic securities abuses2020MD-AG$18,000,000
RBS PLC and RBS Securities JapanNatWest Group PLCprice-fixing or anti-competitive practices2014DOJ_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 PLCconsumer protection violation2015private lawsuit-federal$10,571,428
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 BankRegions Financialbanking violation2023FED$2,950,000
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
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2022CT-INS$9,000
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 Co. and Riversource Life Insurance Co. of New YorkAmeriprise Financialinsurance violation2017MN-FIN$1,500,000
RiverSource Life Insurance CompanyAmeriprise Financialinsurance violation2016MULTI-FIN$1,500,000
Riversource Life Insurance CompanyAmeriprise Financialinsurance violation2023WA-INS$59,613
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.