Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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 Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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 (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2017 FINRA $2,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial anti-money-laundering deficiencies 2016 FINRA $17,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2015 FINRA $8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2011 FINRA $2,115,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2009 FINRA $1,000,000
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2007 FINRA $2,750,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2005 FINRA $90,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2005 FINRA $888,000
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2004 FINRA $400,000
Raymond James & Associates Inc. Raymond James Financial investor protection violation 2000 FINRA $3,410,000
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
AmSouth Bank Regions Financial investor protection violation 2008 SEC $11,400,000
AmSouth Regions Financial anti-money-laundering deficiencies 2004 FINCEN $10,000,000
Regions Bank Regions Financial False Claims Act and related 2016 DOJ_CIVIL $52,400,000
Regions Financial Corporation Regions Financial employment discrimination 2013 EEOC $95,000
AmSouth Bancorporation Regions Financial fraud 2004 USAO $40,000,000
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 Bank Regions Financial banking violation 2014 AL-SBD $5,000,000
AmSouth Investment Services, Inc. Regions Financial investor protection violation 2004 MS-SEC $225,000
AmSouth Investment Services Inc. Regions Financial investor protection violation 2004 MULTI-FIN $225,000
Regions Bank Regions Financial environmental violation 2017 TN-ENV $20,750
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
Robinhood Financial LLC Robinhood Markets investor protection violation 2020 SEC $65,000,000
Robinhood Financial, LLC Robinhood Markets investor protection violation 2019 FINRA $1,250,000
Robinhood Financial LLC Robinhood Markets investor protection violation 2021 FINRA $69,600,000
City National Bank Royal Bank of Canada banking violation 2010 OCC $5,250
RBC Capital Markets LLC Royal Bank of Canada investor protection violation 2011 SEC $30,400,000
Royal Bank of Canada Royal Bank of Canada investor protection violation 2014 CFTC $35,000,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2015 SEC $500,000
City National Bank Royal Bank of Canada banking violation 2005 OCC $750,000
RBC Dain Rauscher Inc Royal Bank of Canada investor protection violation 2006 SEC $1,500,000
Dain Rauscher Incorporated Royal Bank of Canada investor protection violation 2000 SEC $12,941,191
RBC Capital Markets LLC Royal Bank of Canada investor protection violation 2016 SEC $2,500,000
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2009 SEC $125,000
Ferris, Baker Watts, Inc. Royal Bank of Canada investor protection violation 2009 SEC $800,656
RBC Dain Rauscher Incorporated Royal Bank of Canada investor protection violation 2002 SEC $500,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2019 SEC $11,715,395
RBC Capital Markets Corp. Royal Bank of Canada investor protection violation 2010 NJ-AG $51,724
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2008 MULTI-AG $859,800,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2013 NJ-AG $450,000
Royal Bank of Canada Royal Bank of Canada investor protection violation 2009 DE-AG $22,156
Royal Bank of Canada Royal Bank of Canada price-fixing or anti-competitive practices 2013 WV-AG $175,000
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 2020 SEC $3,889,007
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-SEC $186,439
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2008 MULTI-FIN (*) $9,800,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2014 MULTI-FIN $2,800,000
Royal Bank of Canada (USA) Royal Bank of Canada environmental violation 2010 GA-ENV $9,375
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 Royal Bank of Canada investor protection violation 2015 FINRA $1,434,000
Ferris, Baker Watts LLC Royal Bank of Canada investor protection violation 2010 FINRA $690,000
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 Corp. Royal Bank of Canada investor protection violation 2008 FINRA $150,000
RBC Dain Rauscher Inc. Royal Bank of Canada investor protection violation 2006 FINRA $250,000
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2005 FINRA $2,108,000
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 Capital Markets LLC Royal Bank of Canada investor protection violation 2021 SEC $863,326
S&T BANK S&T Bancorp banking violation 2010 FDIC $32,640
SAC Capital SAC Capital insider trading 2013 USAO $1,800,000,000
CR Intrinsic Investors SAC Capital investor protection violation 2013 SEC $601,747,463
Schupp & Grochmal, LLC Schupp & Grochmal investor protection violation 2020 CT-BKG $10,510
Schupp & Grochmal, LLC Schupp & Grochmal investor protection violation 2020 CT-SEC $7,500
Scor Reinsurance Company SCOR insurance violation 2009 PA-INS $5,000
SCOR Global Life U.S. Re Insurance Company SCOR insurance violation 2011 TX-INS $99,000
SCOR Global Life U.S. Re Insurance Company of Texas SCOR insurance violation 2011 TX-INS $90,000
Scotia Capital Inc. Scotiabank investor protection violation 2010 CFTC $250,000
SCOTIABANK DE PUERTO RICO Scotiabank banking violation 2003 FDIC $8,000
Bank of Nova Scotia Scotiabank investor protection violation 2018 CFTC $800,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $77,400,000
Bank of Nova Scotia Scotiabank price-fixing or anti-competitive practices 2020 DOJ_CRIMINAL $60,400,000
OZ Management LP Sculptor Capital Management data submission deficiencies 2015 SEC $4,250,000
Och-Ziff Capital Management Group LLC Sculptor Capital Management Foreign Corrupt Practices Act 2016 DOJ_CRIMINAL $213,000,000
Och-Ziff Capital Management Group Sculptor Capital Management Foreign Corrupt Practices Act 2016 SEC $199,045,167
Seacoast National Bank Seacoast Banking Corporation of Florida banking violation 2013 OCC $26,950
Seacoast National Bank Seacoast Banking Corporation of Florida banking violation 2006 OCC $16,500
Securian Financial Services, Inc. Securian Financial investor protection violation 2020 AK-DBS $10,000
Securian Financial Services, Inc. Securian Financial investor protection violation 2009 MO-SEC $79,445
Securian Financial Services, Inc. Securian Financial consumer protection violation 2013 NE-DBF $5,500
Minnesota Life Insurance Company Securian Financial insurance violation 2019 OR-FIN $5,000
Securian Financial Services Inc. Securian Financial investor protection violation 2009 TX-SEC $50,000
MINNESOTA LIFE INSURANCE CO. Securian Financial insurance violation 2006 VA-INS $18,000
Minnesota Life Insurance Company et al. Securian Financial insurance violation 2016 MULTI-FIN $625,000
Minnesota Life Insurance Co. Securian Financial insurance violation 2020 CT-INS $9,000
Minnesota Life Insurance Company Securian Financial insurance violation 2020 CT-INS $7,000
Selective Insurance Company of South Carolina et al. Selective Insurance Group insurance violation 2016 MD-INS $8,000
Selective Insurance Company of America Selective Insurance Group insurance violation 2015 MN-FIN $15,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)