LPL Financial Corp. | LPL Financial | investor protection violation | 2010 | IL-SEC | $300,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2011 | IL-SEC | $250,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2014 | IL-SEC | $2,000,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2014 | IL-SEC | $815,218 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2013 | IN-SEC | $14,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2018 | IN-SEC | $450,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | MA-SEC | $500,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | MA-SEC | $250,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $975,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $1,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MA-SEC | $1,100,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MD-SEC | $499,000 |
Investment Centers of America, Inc. | LPL Financial | investor protection violation | 2007 | MO-SEC | $1,031,618 |
LPL Financial Corp. | LPL Financial | investor protection violation | 2010 | MO-SEC | $37,540 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | MO-SEC | $185,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2018 | MS-SEC | $40,000 |
LPL Financial Corp. | LPL Financial | investor protection violation | 2009 | MT-FIN | $1,294,416 |
LPL Financial LLC | LPL Financial | investor protection violation | 2012 | MT-FIN | $30,500 |
Investment Centers of America Inc. | LPL Financial | investor protection violation | 2006 | ND-SEC | $6,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2015 | NH-BSR | $750,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2011 | OR-FIN | $100,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | SC-SEC | $40,000 |
LPL Financial Corporation | LPL Financial | investor protection violation | 2008 | TX-SEC | $5,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2016 | TX-SEC | $95,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | MULTI-FIN | $1,425,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2018 | MULTI-FIN | $26,000,000 |
UVEST Financial Services Group, Inc. | LPL Financial | investor protection violation | 2013 | MULTI-FIN | $750,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2020 | NH-BSR | $976,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | FINRA | $280,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2018 | FINRA | $2,750,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2016 | FINRA | $750,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | FINRA | $6,300,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | FINRA | $11,700,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2014 | FINRA | $950,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | FINRA | $9,000,000 |
Investment Centers of America, Inc. | LPL Financial | investor protection violation | 2005 | FINRA | $363,500 |
LPL Financial LLC | LPL Financial | investor protection violation | 2021 | SEC | $891,202 |
LPL Financial LLC | LPL Financial | investor protection violation | 2021 | CT-SEC | $500,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2022 | TX-SEC | $125,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2022 | NH-BSR | $10,307 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | PA-BKG | $190,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | MA-SEC | $250,000 |
Imperial Sugar Company | Louis Dreyfus | workplace safety or health violation | 2010 | OSHA | $6,050,000 |
Louis Dreyfus Energy Services | Louis Dreyfus | False Claims Act and related | 2012 | DOJ_CIVIL | $4,084,000 |
Louis Dreyfus Energy Service | Louis Dreyfus | energy market violation | 2014 | FERC | $7,406,257 |
Louis Dreyfus Company LLC | Louis Dreyfus | railroad safety violation | 2016 | FRA | $6,000 |
Louis Dreyfus Commodities Grand Junction LLC | Louis Dreyfus | tax violations | 2017 | ATTTB | $14,000 |
Louis Dreyfus Company LLC | Louis Dreyfus | railroad safety violation | 2017 | FRA | $8,250 |
Louis Dreyfus Company LLC | Louis Dreyfus | railroad safety violation | 2018 | FRA | $6,000 |
LOUIS DREYFUS CITRUS, INC. | Louis Dreyfus | air pollution violation | 2010 | FL-DEP | $14,600 |
LOUIS DREYFUS CITRUS INC | Louis Dreyfus | environmental violation | 2008 | FL-DEP | $21,000 |
LOUIS DREYFUS CITRUS, INC. | Louis Dreyfus | air pollution violation | 2006 | FL-DEP | $7,200 |
LOUIS DREYFUS CITRUS, INC. | Louis Dreyfus | air pollution violation | 2005 | FL-DEP | $8,500 |
Imperial-Savannah LP | Louis Dreyfus | water pollution violation | 2014 | GA-ENV | $14,750 |
Imperial-Savannah, L.P. | Louis Dreyfus | air pollution violation | 2012 | GA-ENV | $6,000 |
Imperial-Savannah, L.P. | Louis Dreyfus | water pollution violation | 2011 | GA-ENV | $80,000 |
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLC | Louis Dreyfus | air pollution violation | 2016 | IN-ENV | $8,750 |
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLC | Louis Dreyfus | air pollution violation | 2013 | IN-ENV | $7,750 |
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLC | Louis Dreyfus | air pollution violation | 2011 | IN-ENV | $103,750 |
Imperial Sugar Company | Louis Dreyfus | environmental violation | 2012 | LA-ENV | $10,770 |
Imperial Sugar Company | Louis Dreyfus | environmental violation | 2003 | TX-ENV | $6,800 |
Louis Dreyfus Company Agricultural Industries LLC | Louis Dreyfus | environmental violation | 2021 | IN-ENV | $17,400 |
LOUIS DREYFUS CITRUS INC. | Louis Dreyfus | workplace safety or health violation | 2006 | OSHA | $9,800 |
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P. | Louis Dreyfus | workplace safety or health violation | 2008 | OSHA | $4,050,000 |
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: I | Louis Dreyfus | workplace safety or health violation | 2008 | OSHA | $2,000,000 |
IMPERIAL SUGAR CO. | Louis Dreyfus | workplace safety or health violation | 2010 | OSHA | $7,200 |
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P. | Louis Dreyfus | workplace safety or health violation | 2011 | OSHA | $13,600 |
LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLC | Louis Dreyfus | workplace safety or health violation | 2017 | OSHA | $8,665 |
IMPERIAL SUGAR COMPANY | Louis Dreyfus | environmental violation | 2009 | EPA | $5,240 |
LOUIS DREYFUS AGRICULTURAL INDUSTRIES, LLC. | Louis Dreyfus | air pollution violation | 2010 | EPA | $77,628 |
LOUIS DREYFUS COMPANY AGRICULTURAL INDUSTRIES | Louis Dreyfus | air pollution violation | 2019 | EPA | $155,806 |
Lloyds Banking Group plc | Lloyds Banking Group | price-fixing or anti-competitive practices | 2014 | DOJ_CRIMINAL | $86,000,000 |
Lloyds Banking Group plc | Lloyds Banking Group | price-fixing or anti-competitive practices | 2014 | CFTC | $105,000,000 |
Lloyds TSB Bank PLC | Lloyds Banking Group | economic sanction violation | 2009 | DOJ_CRIMINAL | $175,000,000 |
Lloyds TSB Bank plc | Lloyds Banking Group | economic sanction violation | 2009 | NY-MANDA | $175,000,000 |
Lloyds Banking Group plc | Lloyds Banking Group | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $25,250,000 |
Lincoln Financial Group Trust Company, Inc. | Lincoln National | wage and hour violation | 2018 | WHD | $17,567 |
Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2013 | MULTI-AG | $12,600,000 |
Lincoln Life & Annuity Company of New York | Lincoln National | insurance violation | 2019 | CT-INS | $7,500 |
The Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2019 | CT-INS | $65,000 |
Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2014 | DE-INS | $27,600 |
Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2017 | DE-INS | $79,000 |
The Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2019 | LA-INS | $10,000 |
Lincoln Financial Advisors Corp. | Lincoln National | investor protection violation | 2013 | MA-SEC | $100,000 |
Lincoln Life Assurance Company of Boston | Lincoln National | insurance violation | 2016 | MD-INS | $13,200 |
Lincoln National Life Insurance Co. and Lincoln Financial Group | Lincoln National | insurance violation | 2013 | MN-FIN | $150,000 |
The Lincoln National Life Insurance Co. et al. | Lincoln National | insurance violation | 2014 | MN-FIN | $2,500,000 |
The Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2016 | MN-FIN | $10,000 |
Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2019 | MN-FIN | $10,000 |
Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2015 | NJ-DBI | $10,000 |
Lincoln Financial Group | Lincoln National | insurance violation | 2017 | NY-DFS | $52,200,000 |
Lincoln Life & Annuity Company of New York | Lincoln National | insurance violation | 2020 | NY-DFS | $193,166 |
Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2016 | OR-FIN | $15,000 |
Lincoln Financial Advisors Corp. | Lincoln National | investor protection violation | 2007 | RI-FIN | $5,000 |
Lincoln Financial Securities Corporation | Lincoln National | investor protection violation | 2010 | TX-SEC | $40,000 |
Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2016 | TX-INS | $100,000 |
Lincoln National life Insurance Company | Lincoln National | insurance violation | 2011 | UT-INS | $6,000 |
JEFFERSON PILOT LIFE INSURANCE | Lincoln National | insurance violation | 2001 | VA-INS | $42,000 |
JEFFERSON PILOT SECURITIES | Lincoln National | investor protection violation | 2003 | VA-SEC | $26,500 |
LINCOLN FINANCIAL SECURITIES | Lincoln National | investor protection violation | 2018 | VA-SEC | $20,000 |
Lincoln Financial Securities Corporation | Lincoln National | investor protection violation | 2010 | VT-FIN | $10,000 |