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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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$22,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2022TX-INS$6,000
Liberty Mutual Holding Co. Inc.Liberty Mutual Insuranceprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2023TX-INS$11,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$7,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2023TX-INS$14,500
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$28,000
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2023TX-INS$11,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2023TX-INS$6,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$7,000
Liberty Mutual Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$6,250
Liberty Insurance Underwriters, Inc.Liberty Mutual Insuranceinsurance violation2022NJ-DBI$1,778,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2024TX-INS$24,000
Liberty Mutual Personal Insurance CompanyLiberty Mutual Insuranceinsurance violation2024MD-INS$8,500
Lincoln Financial Group Trust Company, Inc.Lincoln Nationalwage and hour violation2018WHD$17,567
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2013MULTI-AG$12,600,000
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2019CT-INS$7,500
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019CT-INS$65,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2014DE-INS$27,600
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2017DE-INS$79,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019LA-INS$10,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2013MA-SEC$100,000
Lincoln Life Assurance Company of BostonLincoln Nationalinsurance violation2016MD-INS$13,200
Lincoln National Life Insurance Co. and Lincoln Financial GroupLincoln Nationalinsurance violation2013MN-FIN$150,000
The Lincoln National Life Insurance Co. et al.Lincoln Nationalinsurance violation2014MN-FIN$2,500,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2016MN-FIN$10,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019MN-FIN$10,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2015NJ-DBI$10,000
Lincoln Financial GroupLincoln Nationalinsurance violation2017NY-DFS$52,200,000
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2020NY-DFS$193,166
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2016OR-FIN$15,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2007RI-FIN$5,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010TX-SEC$40,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2016TX-INS$100,000
Lincoln National life Insurance CompanyLincoln Nationalinsurance violation2011UT-INS$6,000
JEFFERSON PILOT LIFE INSURANCELincoln Nationalinsurance violation2001VA-INS$42,000
JEFFERSON PILOT SECURITIESLincoln Nationalinvestor protection violation2003VA-SEC$26,500
LINCOLN FINANCIAL SECURITIESLincoln Nationalinvestor protection violation2018VA-SEC$20,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010VT-FIN$10,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2019WA-INS$100,000
Lincoln National Life Insurance Company TheLincoln Nationalinsurance violation2020WA-INS$8,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2005MULTI-FIN$264,079
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2020MO-INS$15,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2020VA-INS$7,800
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2011FINRA$600,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2005FINRA$950,000
Jefferson Pilot Variable CorporationLincoln Nationalinvestor protection violation2005FINRA$688,697
Jefferson Pilot Securities CorporationLincoln Nationalinvestor protection violation2004FINRA$125,000
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 Financial Advisors CorporationLincoln Nationalinvestor protection violation2024SEC$8,500,000
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 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 practices2023private lawsuit-federal$25,250,000
Imperial Sugar CompanyLouis Dreyfusworkplace safety or health violation2010OSHA$6,050,000
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 LLCLouis Dreyfusrailroad safety violation2016FRA$6,000
Louis Dreyfus Commodities Grand Junction LLCLouis Dreyfustax violations2017ATTTB$14,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2017FRA$8,250
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2018FRA$6,000
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusair pollution violation2010FL-DEP$14,600
LOUIS DREYFUS CITRUS INCLouis Dreyfusenvironmental violation2008FL-DEP$21,000
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusair pollution violation2006FL-DEP$7,200
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusair pollution violation2005FL-DEP$8,500
Imperial-Savannah LPLouis Dreyfuswater pollution violation2014GA-ENV$14,750
Imperial-Savannah, L.P.Louis Dreyfusair pollution violation2012GA-ENV$6,000
Imperial-Savannah, L.P.Louis Dreyfuswater pollution violation2011GA-ENV$80,000
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
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2012LA-ENV$10,770
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2003TX-ENV$6,800
Louis Dreyfus Company Agricultural Industries LLCLouis Dreyfusenvironmental violation2021IN-ENV$17,400
LOUIS DREYFUS CITRUS INC.Louis Dreyfusworkplace safety or health violation2006OSHA$9,800
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.Louis Dreyfusworkplace safety or health violation2008OSHA$4,050,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: ILouis Dreyfusworkplace safety or health violation2008OSHA$2,000,000
IMPERIAL SUGAR CO.Louis Dreyfusworkplace safety or health violation2010OSHA$7,200
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.Louis Dreyfusworkplace safety or health violation2011OSHA$13,600
LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLCLouis Dreyfusworkplace safety or health violation2017OSHA$8,665
IMPERIAL SUGAR COMPANYLouis Dreyfusenvironmental violation2009EPA$5,240
LOUIS DREYFUS AGRICULTURAL INDUSTRIES, LLC.Louis Dreyfusair pollution violation2010EPA$77,628
LOUIS DREYFUS COMPANY AGRICULTURAL INDUSTRIESLouis Dreyfusair pollution violation2019EPA$155,806
LPL Financial CorporationLPL Financialinvestor protection violation2008SEC$275,000
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 violation2017NJ-AG$975,000
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 Corp.LPL Financialinvestor protection violation2010IL-SEC$300,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.