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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
LPL Financial CorporationLPL Financialinvestor protection violation2008SEC$275,000
LPL Financial CorporationLPL Financialinvestor protection violation2008TX-SEC$5,000
LPL Financial Corp.LPL Financialinvestor protection violation2010IL-SEC$300,000
LPL Financial Corp.LPL Financialinvestor protection violation2010MO-SEC$37,540
LPL Financial Corp.LPL Financialinvestor protection violation2009MT-FIN$1,294,416
Louisiana Generating, LLCMacquarieenvironmental violation2019LA-ENV$16,500
Louisiana Generating, LLCMacquarieenvironmental violation2014LA-ENV$46,962
Louisiana Generating, LLCMacquarieenvironmental violation2013LA-ENV$1,750,000
Louisiana Generating (NRG Energy)Macquarieenvironmental violation2012EPA$264,000,000
Louisiana GeneratingMacquarieair pollution violation2013EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,500,000
Louis Dreyfus Energy ServicesLouis DreyfusFalse Claims Act and related2012DOJ_CIVIL$4,084,000
Louis Dreyfus Energy ServiceLouis Dreyfusenergy market violation2014FERC$7,406,257
LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLCLouis Dreyfusworkplace safety or health violation2017OSHA$8,665
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2016FRA$6,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2017FRA$8,250
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2018FRA$6,000
Louis Dreyfus Company Agricultural Industries LLCLouis Dreyfusenvironmental violation2021IN-ENV$17,400
LOUIS DREYFUS COMPANY AGRICULTURAL INDUSTRIESLouis Dreyfusair pollution violation2019EPA$155,806
Louis Dreyfus Commodities Grand Junction LLCLouis Dreyfustax violations2017ATTTB$14,000
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusair pollution violation2010FL-DEP$14,600
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusair pollution violation2006FL-DEP$7,200
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusair pollution violation2005FL-DEP$8,500
LOUIS DREYFUS CITRUS INC.Louis Dreyfusworkplace safety or health violation2006OSHA$9,800
LOUIS DREYFUS CITRUS INCLouis Dreyfusenvironmental violation2008FL-DEP$21,000
LOUIS DREYFUS AGRICULTURAL INDUSTRIES, LLC.Louis Dreyfusair pollution violation2010EPA$77,628
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusair pollution violation2016IN-ENV$8,750
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusair pollution violation2013IN-ENV$7,750
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusair pollution violation2011IN-ENV$103,750
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2010TX-INS$30,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2011TX-INS$18,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2012TX-INS$62,500
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$5,325
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$56,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$70,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$6,500
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$6,300
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$10,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$42,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2019WA-INS$25,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$28,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$7,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2024TX-INS$24,000
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$40,000
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$11,500
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2023TX-INS$11,000
LM General Insurance CompanyLiberty Mutual Insuranceinsurance violation2019UT-INS$70,000
LM General Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2015MD-INS$8,000
Lloyds TSB Bank PLCLloyds Banking Groupeconomic sanction violation2009DOJ_CRIMINAL$175,000,000
Lloyds TSB Bank plcLloyds Banking Groupeconomic sanction violation2009NY-MANDA$175,000,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014DOJ_CRIMINAL$86,000,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014CFTC$105,000,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
LITTON LOAN SERVICING LPOcwen Financialenvironmental violation2010OR-ENV$7,125
Litton Loan Servicing LPOcwen Financialconsumer protection violation2016private lawsuit-federal$4,121,000
Litton Loan ServicingOcwen Financialconsumer protection violation2010MD-FIN$71,000
Lincoln National Life Insurance Company TheLincoln Nationalinsurance violation2020WA-INS$8,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2013MULTI-AG$12,600,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2015NJ-DBI$10,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2016OR-FIN$15,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2016TX-INS$100,000
Lincoln National life Insurance CompanyLincoln Nationalinsurance violation2011UT-INS$6,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2019WA-INS$100,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2005MULTI-FIN$264,079
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2020VA-INS$7,800
Lincoln National Life Insurance Co. and Lincoln Financial GroupLincoln Nationalinsurance violation2013MN-FIN$150,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2014DE-INS$27,600
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2017DE-INS$79,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019MN-FIN$10,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2020MO-INS$15,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021DE-INS$91,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021WA-INS$10,000
Lincoln National Corp.Lincoln Nationalconsumer protection violation2023private lawsuit-federal$109,957,440
Lincoln Life Assurance Company of BostonLincoln Nationalinsurance violation2016MD-INS$13,200
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2019CT-INS$7,500
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2020NY-DFS$193,166
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2011FINRA$600,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010TX-SEC$40,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010VT-FIN$10,000
LINCOLN FINANCIAL SECURITIESLincoln Nationalinvestor protection violation2018VA-SEC$20,000
Lincoln Financial Group Trust Company, Inc.Lincoln Nationalwage and hour violation2018WHD$17,567
Lincoln Financial GroupLincoln Nationalinsurance violation2017NY-DFS$52,200,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2005FINRA$950,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2024SEC$8,500,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2013MA-SEC$100,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2007RI-FIN$5,000
Life Investors Insurance Company of AmericaAegoninsurance violation2004FL-OFR$11,000
Life Investors Insurance Company of AmericaAegoninsurance violation2006FL-OFR$53,000
LIFE INVESTORS INSURANCE COMPANY OF AMERICAAegoninsurance violation2006VA-INS$29,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2014DE-INS$6,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2006VA-INS$5,000
Life Insurance Company Of The SouthwestNational Life Groupinsurance violation2014WA-INS$17,500
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2020VA-INS$6,600
Life Insurance Company of Georgia and Southland Life Insurance CompanyPrudential PLCinsurance violation2002MULTI-FIN$4,000,000
Liberty Northwest Insurance CorporationLiberty Mutual Insuranceinsurance violation2009OR-FIN$5,000
Liberty Northwest Insurance CorporationLiberty Mutual Insuranceinsurance violation2019OR-FIN$15,000
Liberty Northwest Insurance Corp.Liberty Mutual Insuranceinsurance violation2021OR-FIN$5,000
Liberty National Life Insurance CompanyGlobe Life Inc.discriminatory practices (non-employment)2006private lawsuit-federal$9,350,000
Liberty National Life Insurance Co.Globe Life Inc.insurance violation2011FL-OFR$60,000
Liberty Mutual Retirement Benefit PlanLiberty Mutual Insurancebenefit plan administrator violation2018private lawsuit-federal$30,000,000
Liberty Mutual Personal Insurance CompanyLiberty Mutual Insuranceinsurance violation2024MD-INS$8,500
Liberty Mutual Insurance Group Inc.Liberty Mutual Insuranceconsumer protection violation2018MA-AG$50,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.