| Updated – 14 January 2025 |
Fines
| Total recorded | 3,393,913,000 |
| Institution | Fine ($) |
|---|---|
| Acacia Financial Group Inc. | 52,000 |
| Alpaca Securities LLC | 400,000 |
| A.M. Best Rating Services, Inc. | 1,000,000 |
| Ameriprise Financial Services LLC | 50,000,000 |
| Apex Clearing Corporation | 6,000,000 |
| Apollo Capital Management LP | 8,500,000 |
| Bank of America | 100,000,000 |
| Bank of America Securities | 125,000,000 |
| Bank of Montreal | 35,000,000 |
| Bank of Nova Scotia |
Free Trial
Register for free to keep reading.
To continue reading this article and unlock full access to GRIP, register now. You’ll enjoy free access to all content until our subscription service launches in early 2026.
- Unlimited access to industry insights
- Stay on top of key rules and regulatory changes with our Rules Navigator
- Ad-free experience with no distractions
- Regular podcasts from trusted external experts
- Fresh compliance and regulatory content every day
