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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Royal Bank of Canada
Ownership Structure: publicly traded (ticker symbol NYSE: RY)
Headquartered in: Canada
Major Industry: financial services
Specific Industry: banking
Penalty total since 2000$1,143,468,409
Number of records: 47
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$1,052,824,03440
competition-related offenses$48,925,0004
consumer-protection-related offenses$31,000,0001
government-contracting-related offenses$10,710,0001
environment-related offenses$9,3751
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$981,068,78436
banking violation$65,755,2503
price-fixing or anti-competitive practices$48,925,0004
discriminatory practices (non-employment)$31,000,0001
False Claims Act and related$10,710,0001
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below 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. The totals 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 list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
City National Bankbanking violation2010OCC$5,250
Royal Bank of Canada (USA)water pollution violation2010GA-ENV$9,375
RBC Capital Markets, LLCinvestor protection violation2021VA-SEC$10,000
RBC Capital Markets, LLCinvestor protection violation2023VA-SEC$11,000
Royal Bank of Canadainvestor protection violation2009DE-AG$22,156
RBC Capital Markets, LLCinvestor protection violation2013CA-DFPI$33,520
RBC Capital Markets, LLCinvestor protection violation2013AK-DBS$44,370
RBC Capital Markets Corp.investor protection violation2010NJ-AG$51,724
RBC Capital Markets Corporationinvestor protection violation2009SEC$125,000
RBC Capital Markets Corporationinvestor protection violation2010FINRA$135,000
RBC Capital Markets Corp.investor protection violation2008FINRA$150,000
RBC Dain Rauscher, Inc.investor protection violation2004FINRA$150,000
Royal Bank of Canadaprice-fixing or anti-competitive practices2013WV-AG$175,000
RBC Capital Markets, LLCinvestor protection violation2012MT-FIN$186,439
RBC Capital Markets, LLCinvestor protection violation2012MA-SEC$250,000
RBC Dain Rauscher Inc.investor protection violation2006FINRA$250,000
RBC Capital Markets Corporationinvestor protection violation2009FINRA$400,000
RBC Capital Markets, LLCinvestor protection violation2013NJ-AG$450,000
RBC Capital Markets, LLCinvestor protection violation2015SEC$500,000
RBC Dain Rauscher Incorporatedinvestor protection violation2002SEC$500,000
Ferris, Baker Watts LLCinvestor protection violation2010FINRA$690,000
City National Bankbanking violation2005OCC$750,000
Ferris, Baker Watts, Inc.investor protection violation2009SEC$800,656
RBC Capital Markets LLCinvestor protection violation2021SEC$863,326
RBC Dain Rauscher, Inc.investor protection violation2005FINRA$1,158,000
RBC Capital Marketsinvestor protection violation2015FINRA$1,434,000
RBC Dain Rauscher Incinvestor protection violation2006SEC$1,500,000
RBC Dain Rauscher, Inc.investor protection violation2005FINRA$1,700,000
RBC Capital Markets Corporationinvestor protection violation2005FINRA$2,108,000
RBC Capital Markets LLCinvestor protection violation2016SEC$2,500,000
RBC Capital Markets, LLCinvestor protection violation2014MULTI-FIN$2,800,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.investor protection violation2016FINRA$3,500,000
RBC Capital Markets LLCinvestor protection violation2020SEC$3,889,007
RBC Capital Markets, LLCinvestor protection violation2019CFTC$5,000,000
Royal Bank of Canadaaccounting fraud or deficiencies2023SEC$6,000,000
Royal Bank of Canadaprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
RBC Capital Markets Corporationinvestor 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 Mortgage CompanyFalse Claims Act and related2008DOJ_CIVIL$10,710,000
RBC Capital Markets, LLCinvestor protection violation2019SEC$11,715,395
Dain Rauscher Incorporatedinvestor protection violation2000SEC$12,941,191
RBC Capital Markets LLCprice-fixing or anti-competitive practices2018private lawsuit-federal$15,500,000
Royal Bank of Canadaprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
RBC Capital Markets LLCinvestor protection violation2011SEC$30,400,000
City National Bankdiscriminatory practices (non-employment)2023DOJ_RIGHTS$31,000,000
Royal Bank of Canadainvestor protection violation2014CFTC$35,000,000
City National Bankbanking violation2024OCC$65,000,000
RBC Capital Markets Corporationinvestor protection violation2008MULTI-AG$859,800,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.