Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$39,340,688,209275
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
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.Macquarieenvironmental 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 BALTIMOREMacquarieenvironmental violation2011MD-ENV$77,500
WHEELABRATOR BALTIMOREMacquarieenvironmental violation2003MD-ENV$17,500
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieenvironmental violation2017NJ-ENV$6,000
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieenvironmental violation2016NJ-ENV$12,900
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieenvironmental violation2001NJ-ENV$10,400
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieenvironmental violation2001NJ-ENV$11,200
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieenvironmental violation2000NJ-ENV$11,600
Wheelabrator Falls Inc.Macquarieenvironmental violation2005PA-ENV$106,849
Wheelabrator Portsmouth Inc.Macquarieenvironmental violation2016VA-ENV$7,669
GOODRICH AVIATION TECH SRV INCMacquarieenvironmental violation2004WA-ENV$9,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015FINRA$2,950,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Wheelabrator South Broward, Inc.Macquarieenvironmental violation2021FL-DEP$78,000
The Gas Company, LLCMacquarieenvironmental violation2021EPA$230,000
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2012CA-SCAQMD$8,900
Mercury Air CentersMacquarieenvironmental violation2011CA-SCAQMD$5,500
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2009CA-SCAQMD$7,500
Mercury Air CentersMacquarieenvironmental violation2006CA-SCAQMD$11,750
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2006CA-SCAQMD$9,000
Mercury Air CentersMacquarieenvironmental violation2006CA-SCAQMD$10,000
Cleco PowerMacquarieutility administrative violation2004LA-PSC$18,000,000
Waddell & Reed, LLCMacquarieinvestor protection violation2022SEC$200,000
WHEELABRATOR SHASTA ENERGY CO.Macquarieworkplace safety or health violation2000OSHA$10,275
WHEELABRATOR SHASTA ENERGY CO, INCMacquarieworkplace safety or health violation2010OSHA$10,000
WHEELABRATOR PORTSMOUTHMacquarieworkplace safety or health violation2010OSHA$6,890
WHEELABRATOR ENERGY COMPANY, INCORPORATEDMacquarieworkplace safety or health violation2011OSHA$15,000
CINCINNATI BELL TELEPHONEMacquarieworkplace safety or health violation2012OSHA$13,500
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$7,000
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$10,500
WHEELABRATOR SAUGUS, INC.Macquarieworkplace safety or health violation2017OSHA$17,600
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$8,626
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$5,545
WHEELABRATOR MILLBURY INC.Macquarieworkplace safety or health violation2018OSHA$9,472
WHEELABRATOR CONCORD INC.Macquarieworkplace safety or health violation2019OSHA$7,100
WHEELABRATOR NORTH ANDOVERMacquarieworkplace safety or health violation2019OSHA$7,500
GAS COMPANY LLCMacquarieworkplace safety or health violation2020OSHA$9,832
Big Cajun 2 - Louisiana Generating LLCMacquarieenvironmental violation2005EPA$19,250
Louisiana GeneratingMacquarieenvironmental 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
The Gas Company LLC (dba Hawaii Gas)Macquarieenvironmental violation2014EPA$155,000
Kevin NishimuraMacquarieenvironmental violation2021EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $230,000
Cleco CorpMacquarieworkplace safety or health violation2012MSHA$9,310
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
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.