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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
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 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, LLCRoyal Bank of Canadainvestor protection violation2014MULTI-FIN$2,800,000
Royal Bank of Canada (USA)Royal Bank of Canadaenvironmental violation2010GA-ENV$9,375
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadainvestor protection violation2016FINRA$3,500,000
RBC Capital MarketsRoyal Bank of Canadainvestor protection violation2015FINRA$1,434,000
Ferris, Baker Watts LLCRoyal Bank of Canadainvestor protection violation2010FINRA$690,000
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 Corp.Royal Bank of Canadainvestor protection violation2008FINRA$150,000
RBC Dain Rauscher Inc.Royal Bank of Canadainvestor protection violation2006FINRA$250,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2005FINRA$2,108,000
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 Capital Markets LLCRoyal Bank of Canadainvestor protection violation2021SEC$863,326
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2021VA-SEC$10,000
City National BankRoyal Bank of Canadadiscriminatory practices (non-employment)2023DOJ_RIGHTS$31,000,000
RBC Capital Markets LLCRoyal Bank of Canadaprice-fixing or anti-competitive practices2018private lawsuit-federal$15,500,000
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2023VA-SEC$11,000
Royal Bank of CanadaRoyal Bank of Canadaaccounting fraud or deficiencies2023SEC$6,000,000
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
City National BankRoyal Bank of Canadabanking violation2024OCC$65,000,000
S&T BANKS&T Bancorpbanking violation2010FDIC$32,640
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-BKG$10,510
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-SEC$7,500
Scor Reinsurance CompanySCORinsurance violation2009PA-INS$5,000
SCOR Global Life U.S. Re Insurance CompanySCORinsurance violation2011TX-INS$99,000
SCOR Global Life U.S. Re Insurance Company of TexasSCORinsurance violation2011TX-INS$90,000
Scotia Capital Inc.Scotiabankinvestor protection violation2010CFTC$250,000
Bank of Nova ScotiaScotiabankinvestor protection violation2018CFTC$800,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$50,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2020DOJ_CRIMINAL$60,400,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Bank of Nova ScotiaScotiabankinvestor protection violation2023CFTC$15,000,000
Scotia Capital (USA) Inc.Scotiabankinvestor protection violation2023SEC$7,500,000
OZ Management LPSculptor Capital Managementdata submission deficiencies2015SEC$4,250,000
Och-Ziff Capital Management Group LLCSculptor Capital ManagementForeign Corrupt Practices Act2016DOJ_CRIMINAL$213,000,000
Och-Ziff Capital Management GroupSculptor Capital ManagementForeign Corrupt Practices Act2016SEC$199,045,167
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2013OCC$26,950
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2006OCC$16,500
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2009MO-SEC$79,445
Securian Financial Services, Inc.Securian Financialconsumer protection violation2013NE-DBF$5,500
Minnesota Life Insurance CompanySecurian Financialinsurance violation2019OR-FIN$5,000
Securian Financial Services Inc.Securian Financialinvestor protection violation2009TX-SEC$50,000
MINNESOTA LIFE INSURANCE CO.Securian Financialinsurance violation2006VA-INS$18,000
Minnesota Life Insurance Company et al.Securian Financialinsurance violation2016MULTI-FIN$625,000
Minnesota Life Insurance Co.Securian Financialinsurance violation2020CT-INS$9,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2020CT-INS$7,000
Securian FinancialSecurian Financialwage and hour violation2022MI-LEO$12,530
Selective Insurance Company of South Carolina et al.Selective Insurance Groupinsurance violation2016MD-INS$8,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2015MN-FIN$15,000
Selective Insurance Co. of AmericaSelective Insurance Groupinsurance violation2004NJ-DBI$25,000
Selective Insurance Company of New YorkSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Insurance CompaniesSelective Insurance Groupinsurance violation2018NY-DFS$4,666,268
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2005PA-INS$5,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2005PA-INS$5,000
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2014TN-INS$10,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019TX-INS$6,500
SELECTIVE INSURANCE CO., ET AL.Selective Insurance Groupinsurance violation2010VA-INS$66,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2011VA-INS$8,000
SELECTIVE INSURANCE COMPANY OF AMERICASelective Insurance Groupinsurance violation2017VA-INS$339,333
SELECTIVE INSURANCE CO. ET AL.Selective Insurance Groupinsurance violation2018VA-INS$10,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019VA-INS$10,137
Selective Insurance Company of the SoutheastSelective Insurance Groupinsurance violation2011WI-INS$5,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2020OR-FIN$10,000
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Insurance Company of the SoutheastSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2022VA-INS$5,000
Sentry Insurance a Mutual CompanySentry Insurancewage and hour violation2004WHD$46,524
Sentry InsuranceSentry Insuranceconsumer protection violation2014MA-AG$53,430
Sentry Insurance A Mutual Co.Sentry Insuranceinsurance violation2015AZ-DIFI$20,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2005FL-OFR$7,500
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2001MA-INS$14,500
Sentry Insurance a Mutual CompanySentry Insuranceinsurance violation2011MO-INS$5,200
Sentry Insurance a Mutual CompanySentry Insuranceinsurance violation2018MO-INS$15,000
Sentry Select Insurance Co.Sentry Insuranceinsurance violation2018MO-INS$15,000
Dairyland Insurance CompanySentry Insuranceinsurance violation2003SC-INS$5,000
Sentry Insurance GroupSentry Insuranceinsurance violation2015SD-INS$125,000
Sentry InsuranceSentry Insuranceinsurance violation2008TX-INS$5,000
Sentry Insurance, A Mutual CompanySentry Insuranceinsurance violation2010TX-INS$7,200
Sentry Insurance, A Mutual CompanySentry Insuranceinsurance violation2012TX-INS$13,750
Sentry InsuranceSentry Insuranceinsurance violation2014TX-INS$17,731
Sentry InsuranceSentry Insuranceinsurance violation2015TX-INS$20,000
Sentry InsuranceSentry Insuranceinsurance violation2016TX-INS$12,000
Sentry InsuranceSentry Insuranceinsurance violation2019TX-INS$9,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2011UT-INS$6,000
DAIRYLAND INSURANCE COSentry Insuranceinsurance violation2001VA-INS$8,500
Dairyland Insurance CompanySentry Insuranceinsurance violation2013VT-FIN$37,852
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp.Sentry Insuranceinsurance violation2020VA-INS$140,492
Sentry Select Insurance CompanySentry Insuranceinsurance violation2021WA-INS$5,000
Sentry InsuranceSentry Insuranceconsumer protection violation2016private lawsuit-federal$5,718,825
Shoko Chukin Bank LtdShoko Chukin Bankprice-fixing or anti-competitive practices2019private lawsuit-federal$6,350,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.