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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
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
LOUIS DREYFUS AGRICULTURAL INDUSTRIES, LLC.Louis Dreyfusair pollution violation2010EPA$77,628
LOUIS DREYFUS CITRUS INCLouis Dreyfusenvironmental violation2008FL-DEP$21,000
LOUIS DREYFUS CITRUS INC.Louis Dreyfusworkplace safety or health violation2006OSHA$9,800
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 Commodities Grand Junction LLCLouis Dreyfustax violations2017ATTTB$14,000
LOUIS DREYFUS COMPANY AGRICULTURAL INDUSTRIESLouis Dreyfusair pollution violation2019EPA$155,806
Louis Dreyfus Company Agricultural Industries LLCLouis Dreyfusenvironmental violation2021IN-ENV$17,400
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 RIVER ELEVATORS, LLCLouis Dreyfusworkplace safety or health violation2017OSHA$8,665
Louis Dreyfus Energy ServiceLouis Dreyfusenergy market violation2014FERC$7,406,257
Louis Dreyfus Energy ServicesLouis DreyfusFalse Claims Act and related2012DOJ_CIVIL$4,084,000
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
Louisiana Generating (NRG Energy)Macquarieenvironmental violation2012EPA$264,000,000
Louisiana Generating, LLCMacquarieenvironmental violation2019LA-ENV$16,500
Louisiana Generating, LLCMacquarieenvironmental violation2014LA-ENV$46,962
Louisiana Generating, LLCMacquarieenvironmental violation2013LA-ENV$1,750,000
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
LPL Financial CorporationLPL Financialinvestor protection violation2008SEC$275,000
LPL Financial CorporationLPL Financialinvestor protection violation2008TX-SEC$5,000
LPL Financial LLCLPL Financialinvestor protection violation2019SEC$9,333,516
LPL Financial LLCLPL Financialconsumer protection violation2015MULTI-AG$2,000,000
LPL Financial LLCLPL Financialinvestor protection violation2019MULTI-AG$25,848,000
LPL Financial LLCLPL Financialinvestor protection violation2019AK-DBS$499,000
LPL Financial LLCLPL Financialinvestor protection violation2018AL-SEC$80,000
LPL Financial LLCLPL Financialinvestor protection violation2019AR-SEC$40,000
LPL Financial LLCLPL Financialinvestor protection violation2015DE-SEC$200,000
LPL Financial LLCLPL Financialinvestor protection violation2013MA-SEC$500,000
LPL Financial LLCLPL Financialinvestor protection violation2015MA-SEC$250,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$975,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$1,000,000
LPL Financial LLCLPL Financialinvestor protection violation2019MA-SEC$1,100,000
LPL Financial LLCLPL Financialinvestor protection violation2019MD-SEC$499,000
LPL Financial LLCLPL Financialinvestor protection violation2013MO-SEC$185,000
LPL Financial LLCLPL Financialinvestor protection violation2018MS-SEC$40,000
LPL Financial LLCLPL Financialinvestor protection violation2012MT-FIN$30,500
LPL Financial LLCLPL Financialinvestor protection violation2011OR-FIN$100,000
LPL Financial LLCLPL Financialinvestor protection violation2019SC-SEC$40,000
LPL Financial LLCLPL Financialinvestor protection violation2016TX-SEC$95,000
LPL Financial LLCLPL Financialinvestor protection violation2015MULTI-FIN$1,425,000
LPL Financial LLCLPL Financialinvestor protection violation2018MULTI-FIN$26,000,000
LPL Financial LLCLPL Financialinvestor protection violation2020NH-BSR$976,000
LPL Financial LLCLPL Financialinvestor protection violation2019FINRA$280,000
LPL Financial LLCLPL Financialinvestor protection violation2016FINRA$750,000
LPL Financial LLCLPL Financialinvestor protection violation2015FINRA$6,300,000
LPL Financial LLCLPL Financialinvestor protection violation2015FINRA$11,700,000
LPL Financial LLCLPL Financialinvestor protection violation2014FINRA$950,000
LPL Financial LLCLPL Financialinvestor protection violation2013FINRA$9,000,000
LPL Financial LLCLPL Financialinvestor protection violation2021SEC$891,202
LPL Financial LLCLPL Financialinvestor protection violation2021CT-SEC$500,000
LPL Financial LLCLPL Financialinvestor protection violation2022TX-SEC$125,000
LPL Financial LLCLPL Financialinvestor protection violation2022NH-BSR$10,307
LPL Financial, LLCLPL Financialinvestor protection violation2017NJ-AG$975,000
LPL Financial, LLCLPL Financialinvestor protection violation2011IL-SEC$250,000
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$2,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$815,218
LPL Financial, LLCLPL Financialinvestor protection violation2013IN-SEC$14,000
LPL Financial, LLCLPL Financialinvestor protection violation2018IN-SEC$450,000
LPL Financial, LLCLPL Financialinvestor protection violation2015NH-BSR$750,000
LPL Financial, LLCLPL Financialinvestor protection violation2018FINRA$2,750,000
LPL Financial, LLCLPL Financialinvestor protection violation2023PA-BKG$190,000
LPL Financial, LLCLPL Financialinvestor protection violation2023MA-SEC$250,000
M&T Bank CorporationM&T Bankwage and hour violation2018private lawsuit-federal$2,490,000
M&T BankM&T Bankconsumer protection violation2014CFPB$3,100,000
M&T BankM&T Bankanti-money-laundering deficiencies2014USAO$560,000
M&T BankM&T Bankemployment discrimination2020EEOC$100,000
M&T BankM&T Bankbanking violation2020FED$546,000
M&T BankM&T Bankconsumer protection violation2022private lawsuit-federal$3,325,000
M&T BankM&T Bankconsumer protection violation2015private lawsuit-federal$4,000,000
M&T Bank Corp.M&T BankFalse Claims Act and related2016DOJ_CIVIL$64,000,000
M&T Securities, Inc.M&T Bankinvestor protection violation2009FINRA$200,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015SEC$15,000,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015FINRA$2,950,000
Macquarie Capital Investment Management LLC, et alMacquarieinvestor protection violation2015SEC$120,000
Macquarie Futures USA LLCMacquarieinvestor protection violation2013CFTC$150,000
MAINSOURCE BANKFirst Financial Bancorp.banking violation2010FDIC$22,000
MANULIFE FINANCIALManulife Financialenvironmental violation2008MA-ENV$18,030
Manulife Financial CorporationManulife Financialinvestor protection violation2004DOJ_ANTITRUST$1,000,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2016AK-INS$10,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2019AK-INS$20,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2015NJ-DBI$50,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2017TX-INS$6,825
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2018TX-INS$7,600
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2020TX-INS$6,350
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2023AK-INS$20,000
Marsh & McLennan Agency, LLCMarsh & McLennaninsurance violation2014NJ-DBI$15,000
Marsh & McLennan Companies Inc.Marsh & McLennanprice-fixing or anti-competitive practices2009private lawsuit-federal$69,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennanbenefit plan administrator violation2010private lawsuit-federal$35,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennankickbacks and bribery2009CT-AG$2,400,000
Marsh & McLennan Companies, Inc.Marsh & McLennanprice-fixing or anti-competitive practices2005MULTI-AG$850,000,000
Marsh and McLennanMarsh & McLennaninvestor protection violation2009MULTI-AG$400,000,000
Marsh and McLennanMarsh & McLennanprice-fixing or anti-competitive practices2009MULTI-AG$7,000,000
Marsh USA IncMarsh & McLennaninsurance violation2018NY-DFS$12,950
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.