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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 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
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
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
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
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.