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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Macquarie
Ownership Structure: publicly traded (ticker symbol MIC)
Headquartered in: Australia
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000$414,933,677
Number of records: 83
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
environment-related offenses$274,255,75934
financial offenses$112,535,96114
miscellaneous offenses$18,000,0001
competition-related offenses$8,057,2314
employment-related offenses$1,756,7598
Top 5 Primary Offense TypesPenalty TotalNumber of Records
environmental violation$274,255,75934
investor protection violation$112,535,96114
utility administrative violation$18,000,0001
energy market violation$8,057,2314
employment discrimination$1,600,0002
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below 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. The totals 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 list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

For an overview of assistance this company is receiving under the CARES Act, see its Covid Stimulus Watch summary page here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon .
Louisiana Generating (NRG Energy)environmental violation2012EPA$264,000,000
Waddell & Reed, Inc.investor 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
Waddell & Reed, Inc.investor protection violation2006SEC$50,000,000
Waddell & Reed, Inc.investor protection violation2005MULTI-FIN$18,000,000
Cleco Powerutility administrative violation2004LA-PSC$18,000,000
Waddell & Reed, Inc.investor 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
Macquarie Capital (USA) Inc.investor protection violation2015SEC$15,000,000
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator Millburyenvironmental violation2011MA-AG$7,500,000
Louisiana Generatingenvironmental 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
Macquarie Capital (USA) Inc.investor protection violation2015FINRA$2,950,000
Cleco Corporationenergy market violation2003FERC$2,850,000
Cleco Corporationenergy market violation2003FERC$2,850,000
Cleco Power, LLCenergy market violation2007FERC$2,000,000
Louisiana Generating, LLCenvironmental violation2013LA-ENV$1,750,000
Cincinnati Bell Telephone and Cincinnati Bell Information Systemsemployment discrimination2000EEOC$1,000,000
Waddell & Reed, Inc.investor protection violation2016NH-BSR$900,000
Mercury Air Centers Inc.employment discrimination2010EEOC$600,000
Wheelabrator Claremont Company, L.P.energy market violation2018FERC$357,231
The Gas Company, LLCenvironmental violation2021EPA$230,000
THE GAS COMPANY SNG PLANTenvironmental 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
Waddell & Reed, LLCinvestor protection violation2022SEC$200,000
Waddell & Reed, Inc.investor protection violation2006MO-SEC$172,161
The Gas Company LLC (dba Hawaii Gas)environmental violation2014EPA$155,000
Macquarie Futures USA LLCinvestor protection violation2013CFTC$150,000
Macquarie Capital Investment Management LLC, et alinvestor protection violation2015SEC$120,000
Wheelabrator Falls Inc.environmental violation2005PA-ENV$106,849
GOODRICH AVIATION TECHNICAL SERVICES INCaviation safety violation2005FAA$90,000
Wheelabrator South Broward, Inc.environmental violation2021FL-DEP$78,000
WHEELABRATOR BALTIMOREenvironmental violation2011MD-ENV$77,500
Goodrich Aviation Technical Services, Inc.wage and hour violation2005WHD$47,369
Louisiana Generating, LLCenvironmental violation2014LA-ENV$46,962
Mercury Air Centers, Inc.labor relations violation2006NLRB$40,000
CINCINNATI BELLlabor relations violation2004NLRB$39,200
Wheelabrator Putnam Incorporatedenvironmental violation2003CT-ENV$33,500
THE GAS COMPANY LLCmotor vehicle safety violation2009FMCSA$28,440
THE GAS COMPANY LLCmotor vehicle safety violation2009FMCSA$28,440
WHEELABRATOR FRACKVILLE ENERGYenvironmental violation2012PA-ENV$27,400
Waddell & Reed, Inc.investor protection violation2005MT-SEC$25,000
WHEELABRATOR FALLS INCenvironmental violation2006PA-ENV$21,079
Big Cajun 2 - Louisiana Generating LLCenvironmental violation2005EPA$19,250
WHEELABRATOR RIDGE ENERGY, INC.environmental violation2004FL-DEP$19,000
WHEELABRATOR SAUGUS, INC.workplace safety or health violation2017OSHA$17,600
WHEELABRATOR BALTIMOREenvironmental violation2003MD-ENV$17,500
Louisiana Generating, LLCenvironmental violation2019LA-ENV$16,500
WHEELABRATOR ENERGY COMPANY, INCORPORATEDworkplace safety or health violation2011OSHA$15,000
WHEELABRATOR SOUTH BROWARD, INC.environmental violation2005FL-DEP$14,450
CINCINNATI BELL TELEPHONEworkplace safety or health violation2012OSHA$13,500
Wheelabrator Westchester, L.P.labor relations violation2005NLRB$13,000
WHEELABRATOR GLOUCESTER COMPANY L Penvironmental violation2016NJ-ENV$12,900
The Gas Company Llcmotor vehicle safety violation2017FMCSA$12,650
Cleco Corporationwage and hour violation2017WHD$12,190
WHEELABRATOR FALLS INCenvironmental violation2020PA-ENV$12,000
Mercury Air Centersenvironmental violation2006CA-SCAQMD$11,750
WHEELABRATOR GLOUCESTER COMPANY, L.P.environmental violation2000NJ-ENV$11,600
WHEELABRATOR GLOUCESTER COMPANY, L.P.environmental violation2001NJ-ENV$11,200
THE GAS COMPANY, LLCworkplace safety or health violation2013OSHA$10,500
WHEELABRATOR GLOUCESTER COMPANY, L.P.environmental violation2001NJ-ENV$10,400
WHEELABRATOR SHASTA ENERGY CO.workplace safety or health violation2000OSHA$10,275
Waddell & Reed Inc.investor protection violation2008OK-SEC$10,000
Mercury Air Centersenvironmental violation2006CA-SCAQMD$10,000
WHEELABRATOR SHASTA ENERGY CO, INCworkplace safety or health violation2010OSHA$10,000
GAS COMPANY LLCworkplace safety or health violation2020OSHA$9,832
WHEELABRATOR MILLBURY INC.workplace safety or health violation2018OSHA$9,472
Wheelabrator Lisbon, Inc.environmental violation2013CT-ENV$9,350
Cleco Corpworkplace safety or health violation2012MSHA$9,310
GOODRICH AVIATION TECH SRV INCenvironmental violation2004WA-ENV$9,000
Wheelabrator Norwalk Energy Co. Inc.environmental violation2006CA-SCAQMD$9,000
Wheelabrator Norwalk Energy Co. Inc.environmental violation2012CA-SCAQMD$8,900
Waddell & Reed, Inc.investor protection violation2003FL-OFR$8,800
CLECO CORPORATIONworkplace safety or health violation2017OSHA$8,626
WHEELABRATOR MILLBURY INC.workplace safety or health violation2022OSHA$8,287
Wheelabrator Portsmouth Inc.environmental violation2016VA-ENV$7,669
Wheelabrator Norwalk Energy Co. Inc.environmental violation2009CA-SCAQMD$7,500
WHEELABRATOR NORTH ANDOVERworkplace safety or health violation2019OSHA$7,500
WHEELABRATOR CONCORD INC.workplace safety or health violation2019OSHA$7,100
GOODRICH AVIATION TECHNICAL SERVICES INCaviation safety violation2007FAA$7,000
THE GAS COMPANY, LLCworkplace safety or health violation2013OSHA$7,000
WHEELABRATOR PORTSMOUTHworkplace safety or health violation2010OSHA$6,890
WHEELABRATOR GLOUCESTER COMPANY L Penvironmental violation2017NJ-ENV$6,000
CLECO CORPORATIONworkplace safety or health violation2017OSHA$5,545
Mercury Air Centersenvironmental violation2011CA-SCAQMD$5,500
GOODRICH AVIATION TECHNICAL SERVICES INCaviation safety violation2005FAA$5,000
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWINGlabor relations violation2005NLRB$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.