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Top 5 Jurisdictions | Penalty Total (USD) | Number of Records |
---|---|---|
United States | $246,653,406 | 28 |
Canada | $42,849,916 | 8 |
Brazil | $3,363,993 | 1 |
United Kingdom | $1,540,364 | 2 |
Hong Kong | $515,644 | 1 |
Top 5 Offense Groups | Penalty Total (USD) | Number of Records |
---|---|---|
financial offenses | $258,560,809 | 33 |
consumer-protection-related offenses | $31,273,782 | 2 |
competition-related offenses | $3,538,993 | 2 |
employment-related offenses | $1,540,364 | 2 |
environment-related offenses | $9,375 | 1 |
Click on the company or penalty amount for more information on each case.
Company | Current Parent Industry | Offense Category | Year | Jurisdiction | Penalty Amount (USD) |
---|---|---|---|---|---|
City National Bank | financial services | banking violation | 2024 | United States | $65,000,000 |
RBC Capital Markets, LLC | financial services | investor protection violation | 2024 | United States | $45,000,000 |
Royal Bank of Canada | financial services | investor protection violation | 2014 | United States | $35,000,000 |
City National Bank | financial services | discriminatory practices (non-employment) | 2023 | United States | $31,000,000 |
RBC Capital Markets LLC | financial services | investor protection violation | 2011 | United States | $30,400,000 |
RBC Dominion Securities Inc. et al. | financial services | investor protection violation | 2017 | Canada | $17,189,726 |
RBC Capital Markets, LLC | financial services | investor protection violation | 2019 | United States | $11,715,395 |
Royal Bank of Canada | financial services | securities violation | 2019 | Canada | $10,791,125 |
Royal Bank of Canada | financial services | accounting fraud or deficiencies | 2023 | United States | $6,000,000 |
HSBC Investment Funds (Canada) Inc. and HSBC Private Wealth Services (Canada) Inc. | financial services | investor protection violation | 2016 | Canada | $5,793,812 |
Royal Bank of Canada | financial services | anti-money-laundering deficiencies | 2023 | Canada | $5,523,763 |
RBC Capital Markets, LLC | financial services | investor protection violation | 2019 | United States | $5,000,000 |
RBC Capital Markets LLC | financial services | investor protection violation | 2020 | United States | $3,889,007 |
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. | financial services | investor protection violation | 2016 | United States | $3,500,000 |
Royal Bank of Canada | financial services | anti-competitive practices | 2018 | Brazil | $3,363,993 |
RBC Capital Markets, LLC | financial services | investor protection violation | 2014 | United States | $2,800,000 |
RBC Capital Markets LLC | financial services | investor protection violation | 2016 | United States | $2,500,000 |
Royal Bank of Canada | financial services | banking violation | 2023 | Canada | $1,604,737 |
Royal Bank of Canada | financial services | labor standards violation | 2021 | United Kingdom | $1,529,758 |
Royal Bank of Canada | financial services | investor protection violation | 2023 | Canada | $1,441,442 |
RBC Capital Markets | financial services | investor protection violation | 2015 | United States | $1,434,000 |
RBC Capital Markets LLC | financial services | investor protection violation | 2021 | United States | $863,326 |
Ferris, Baker Watts LLC | financial services | investor protection violation | 2010 | United States | $690,000 |
RBC Investment Management (Asia) Limited | financial services | investor protection violation | 2012 | Hong Kong | $515,644 |
RBC Capital Markets, LLC | financial services | investor protection violation | 2015 | United States | $500,000 |
RBC Capital Markets, LLC | financial services | investor protection violation | 2013 | United States | $450,000 |
Royal Bank of Canada | financial services | consumer protection violation | 2021 | Canada | $273,782 |
RBC Capital Markets, LLC | financial services | investor protection violation | 2012 | United States | $250,000 |
HSBC Bank Canada | financial services | banking violation | 2023 | Canada | $231,529 |
RBC Capital Markets, LLC | financial services | investor protection violation | 2012 | United States | $186,439 |
Royal Bank of Canada | financial services | anti-competitive practices | 2013 | United States | $175,000 |
RBC Capital Markets Corporation | financial services | investor protection violation | 2010 | United States | $135,000 |
RBC Capital Markets Corp. | financial services | investor protection violation | 2010 | United States | $51,724 |
RBC Capital Markets, LLC | financial services | investor protection violation | 2013 | United States | $44,370 |
RBC Capital Markets, LLC | financial services | investor protection violation | 2013 | United States | $33,520 |
RBC Capital Markets, LLC | financial services | investor protection violation | 2023 | United States | $11,000 |
Royal Bank of Canada | financial services | labor standards violation | 2019 | United Kingdom | $10,606 |
RBC Capital Markets, LLC | financial services | investor protection violation | 2021 | United States | $10,000 |
Royal Bank of Canada (USA) | financial services | water pollution violation | 2010 | United States | $9,375 |
City National Bank | financial services | banking violation | 2010 | United States | $5,250 |