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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
LPL Financial, LLCLPL Financialinvestor protection violation2018IN-SEC$450,000
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
Investment Centers of America, Inc.LPL Financialinvestor protection violation2007MO-SEC$1,031,618
LPL Financial Corp.LPL Financialinvestor protection violation2010MO-SEC$37,540
LPL Financial LLCLPL Financialinvestor protection violation2013MO-SEC$185,000
LPL Financial LLCLPL Financialinvestor protection violation2018MS-SEC$40,000
LPL Financial Corp.LPL Financialinvestor protection violation2009MT-FIN$1,294,416
LPL Financial LLCLPL Financialinvestor protection violation2012MT-FIN$30,500
Investment Centers of America Inc.LPL Financialinvestor protection violation2006ND-SEC$6,000
LPL Financial, LLCLPL Financialinvestor protection violation2015NH-BSR$750,000
LPL Financial LLCLPL Financialinvestor protection violation2011OR-FIN$100,000
LPL Financial LLCLPL Financialinvestor protection violation2019SC-SEC$40,000
LPL Financial CorporationLPL Financialinvestor protection violation2008TX-SEC$5,000
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
UVEST Financial Services Group, Inc.LPL Financialinvestor protection violation2013MULTI-FIN$750,000
LPL Financial LLCLPL Financialinvestor protection violation2020NH-BSR$976,000
LPL Financial LLCLPL Financialinvestor protection violation2019FINRA$280,000
LPL Financial, LLCLPL Financialinvestor protection violation2018FINRA$2,750,000
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
Investment Centers of America, Inc.LPL Financialinvestor protection violation2005FINRA$363,500
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 violation2023PA-BKG$190,000
LPL Financial, LLCLPL Financialinvestor protection violation2023MA-SEC$250,000
Hudson City Savings BankM&T Bankbanking violation2015CFPB$32,750,000
M&T BankM&T Bankconsumer protection violation2014CFPB$3,100,000
M&T Bank Corp.M&T BankFalse Claims Act and related2016DOJ_CIVIL$64,000,000
Wilmington TrustM&T Bankaccounting fraud or deficiencies2014SEC$18,500,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2004SEC$125,000
M&T BankM&T Bankanti-money-laundering deficiencies2014USAO$560,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2007SEC$100,000
M&T Bank CorporationM&T Bankwage and hour violation2018private lawsuit-federal$2,490,000
Wilmington Trust Corp.M&T Bankbenefit plan administrator violation2014private lawsuit-federal$3,000,000
Wilmington Trust CorporationM&T Bankemployment discrimination2018EEOC$700,000
Wilmington Trust N.A.M&T Bankbenefit plan administrator violation2017private lawsuit-federal$29,773,250
Wilmington Trust Co.M&T Bankemployment discrimination2004EEOC$70,000
M&T BankM&T Bankemployment discrimination2020EEOC$100,000
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2020EBSA$88,000,000
Wilmington Trust Co.M&T Bankinvestor protection violation2005DE-SEC$50,000
M&T BankM&T Bankbanking violation2020FED$546,000
M&T Securities, Inc.M&T Bankinvestor protection violation2009FINRA$200,000
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2021private lawsuit-federal$5,500,000
M&T BankM&T Bankconsumer protection violation2022private lawsuit-federal$3,325,000
M&T BankM&T Bankconsumer protection violation2015private lawsuit-federal$4,000,000
Wilmington Trust Investment Management, LLCM&T Bankinvestor protection violation2023SEC$1,327,147
Louisiana Generating (NRG Energy)Macquarieenvironmental violation2012EPA$264,000,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015SEC$15,000,000
Macquarie Futures USA LLCMacquarieinvestor protection violation2013CFTC$150,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2007FAA$7,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$5,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$90,000
Cleco Power, LLCMacquarieenergy market violation2007FERC$2,000,000
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
Mercury Air Centers Inc.Macquarieemployment discrimination2010EEOC$600,000
Cincinnati Bell Telephone and Cincinnati Bell Information SystemsMacquarieemployment discrimination2000EEOC$1,000,000
Goodrich Aviation Technical Services, Inc.Macquariewage and hour violation2005WHD$47,369
Mercury Air Centers, Inc.Macquarielabor relations violation2006NLRB$40,000
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWINGMacquarielabor relations violation2005NLRB$5,000
Wheelabrator Westchester, L.P.Macquarielabor relations violation2005NLRB$13,000
CINCINNATI BELLMacquarielabor relations violation2004NLRB$39,200
Macquarie Capital Investment Management LLC, et alMacquarieinvestor protection violation2015SEC$120,000
Wheelabrator Claremont Company, L.P.Macquarieenergy market violation2018FERC$357,231
Waddell & Reed, Inc.Macquarieinvestor protection violation2006SEC$50,000,000
The Gas Company LlcMacquariemotor vehicle safety violation2017FMCSA$12,650
Waddell & Reed, Inc.Macquarieinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator MillburyMacquarieenvironmental violation2011MA-AG$7,500,000
Cleco CorporationMacquariewage and hour violation2017WHD$12,190
Waddell & Reed, Inc.Macquarieinvestor protection violation2003FL-OFR$8,800
Waddell & Reed, Inc.Macquarieinvestor protection violation2006MO-SEC$172,161
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MT-FIN$25,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2016NH-BSR$900,000
Waddell & Reed Inc.Macquarieinvestor protection violation2008OK-SEC$10,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MULTI-FIN$18,000,000
WHEELABRATOR FRACKVILLE ENERGYMacquarieenvironmental violation2012PA-ENV$27,400
WHEELABRATOR FALLS INCMacquarieenvironmental violation2020PA-ENV$12,000
WHEELABRATOR FALLS INCMacquarieenvironmental violation2006PA-ENV$21,079
Wheelabrator Lisbon, Inc.Macquarieenvironmental violation2013CT-ENV$9,350
Wheelabrator Putnam IncorporatedMacquarieenvironmental violation2003CT-ENV$33,500
WHEELABRATOR SOUTH BROWARD, INC.Macquarieair pollution violation2005FL-DEP$14,450
WHEELABRATOR RIDGE ENERGY, INC.Macquarieenvironmental violation2004FL-DEP$19,000
Louisiana Generating, LLCMacquarieenvironmental violation2019LA-ENV$16,500
Louisiana Generating, LLCMacquarieenvironmental violation2014LA-ENV$46,962
Louisiana Generating, LLCMacquarieenvironmental violation2013LA-ENV$1,750,000
WHEELABRATOR BALTIMOREMacquarieair pollution violation2011MD-ENV$77,500
WHEELABRATOR BALTIMOREMacquarieair pollution violation2003MD-ENV$17,500
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieair pollution violation2017NJ-ENV$6,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.