Violation Tracker Parent Company Summary

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: 
$130,880,252
Number of records: 
107
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$112,335,96113
environment-related offenses$9,021,79533
competition-related offenses$8,057,2314
safety-related offenses$752,70652
employment-related offenses$712,5595
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$112,335,96113
environmental violation$9,021,79533
energy market violation$8,057,2314
employment discrimination$600,0001
workplace safety or health violation$335,91116
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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Primary Offense Type Year Agency Penalty Amountsort icon
Waddell & Reed, Inc. investor protection violation 2006 NY-AG (*) $75,000,000
Waddell & Reed, Inc. investor protection violation 2006 SEC $50,000,000
Waddell & Reed, Inc. investor protection violation 2005 MULTI-FIN $18,000,000
Waddell & Reed, Inc. investor protection violation 2005 FINRA (*) $16,000,000
Macquarie Capital (USA) Inc. investor protection violation 2015 SEC $15,000,000
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator Millbury environmental violation 2011 MA-AG $7,500,000
Macquarie Capital (USA) Inc. investor protection violation 2015 FINRA $2,950,000
Cleco Corporation energy market violation 2003 FERC $2,850,000
Cleco Corporation energy market violation 2003 FERC $2,850,000
Cleco Power, LLC energy market violation 2007 FERC $2,000,000
Waddell & Reed, Inc. investor protection violation 2016 NH-BSR $900,000
Mercury Air Centers Inc. employment discrimination 2010 EEOC $600,000
Wheelabrator Claremont Company, L.P. energy market violation 2018 FERC $357,231
IMTT-Lemont environmental violation 2003 IL-AG $250,000
Waddell & Reed, Inc. investor protection violation 2006 MO-SEC $172,161
International Matex Tank Terminals environmental violation 2006 EPA $157,500
The Gas Company LLC (dba Hawaii Gas) environmental violation 2014 EPA $155,000
Macquarie Futures USA LLC investor protection violation 2013 CFTC $150,000
IMTT-BAYONNE environmental violation 2018 PHMSA $144,000
Macquarie Capital Investment Management LLC, et al investor protection violation 2015 SEC $120,000
International-Matex Tank Terminals environmental violation 2015 LA-ENV $116,000
IMTT-BAYONNE workplace safety or health violation 2019 OSHA $113,964
IMTT BAYONNE LLC environmental violation 2006 NJ-ENV $111,375
Wheelabrator Falls Inc. environmental violation 2005 PA-ENV $106,849
GOODRICH AVIATION TECHNICAL SERVICES INC aviation safety violation 2005 FAA $90,000
IMTT- BAYONNE LLC workplace safety or health violation 2016 OSHA $87,297
Wheelabrator South Broward, Inc. environmental violation 2021 FL-DEP $78,000
WHEELABRATOR BALTIMORE environmental violation 2011 MD-ENV $77,500
Goodrich Aviation Technical Services, Inc. wage and hour violation 2005 WHD $47,369
Mercury Air Centers, Inc. labor relations violation 2006 NLRB $40,000
Wheelabrator Putnam Incorporated environmental violation 2003 CT-ENV $33,500
THE GAS COMPANY LLC motor vehicle safety violation 2009 FMCSA $28,440
THE GAS COMPANY LLC motor vehicle safety violation 2009 FMCSA $28,440
WHEELABRATOR FRACKVILLE ENERGY environmental violation 2012 PA-ENV $27,400
International-Matex Tank Terminals, LLC environmental violation 2018 LA-ENV $25,673
Waddell & Reed, Inc. investor protection violation 2005 MT-SEC $25,000
WHEELABRATOR FALLS INC environmental violation 2006 PA-ENV $21,079
IMTT-PIPELINE environmental violation 2018 PHMSA $19,600
WHEELABRATOR RIDGE ENERGY, INC. environmental violation 2004 FL-DEP $19,000
International Matex Tank Terminals railroad safety violation 2009 FRA $18,200
WHEELABRATOR SAUGUS, INC. workplace safety or health violation 2017 OSHA $17,600
WHEELABRATOR BALTIMORE environmental violation 2003 MD-ENV $17,500
IMTT BAYONNE LLC environmental violation 2012 NJ-ENV $15,000
WHEELABRATOR ENERGY COMPANY, INCORPORATED workplace safety or health violation 2011 OSHA $15,000
WHEELABRATOR SOUTH BROWARD, INC. environmental violation 2005 FL-DEP $14,450
International Matex Tank Terminals railroad safety violation 2007 FRA $14,000
Wheelabrator Westchester, L.P. labor relations violation 2005 NLRB $13,000
WHEELABRATOR GLOUCESTER COMPANY L P environmental violation 2016 NJ-ENV $12,900
The Gas Company Llc motor vehicle safety violation 2017 FMCSA $12,650
Cleco Corporation wage and hour violation 2017 WHD $12,190
International Matex Tank Terminals railroad safety violation 2012 FRA $12,000
WHEELABRATOR FALLS INC environmental violation 2020 PA-ENV $12,000
WHEELABRATOR GLOUCESTER COMPANY, L.P. environmental violation 2000 NJ-ENV $11,600
IMTT BAYONNE LLC environmental violation 2016 NJ-ENV $11,250
WHEELABRATOR GLOUCESTER COMPANY, L.P. environmental violation 2001 NJ-ENV $11,200
INTERNATIONAL MATEX TANK TERMINALS railroad safety violation 2008 FRA $10,500
THE GAS COMPANY, LLC workplace safety or health violation 2013 OSHA $10,500
WHEELABRATOR GLOUCESTER COMPANY, L.P. environmental violation 2001 NJ-ENV $10,400
WHEELABRATOR SHASTA ENERGY CO. workplace safety or health violation 2000 OSHA $10,275
Waddell & Reed Inc. investor protection violation 2008 OK-SEC $10,000
IMTT - BAYONNE environmental violation 2021 NJ-ENV $10,000
WHEELABRATOR SHASTA ENERGY CO, INC workplace safety or health violation 2010 OSHA $10,000
GAS COMPANY LLC workplace safety or health violation 2020 OSHA $9,832
International Matex Tank Terminals railroad safety violation 2002 FRA $9,750
INTERNATIONAL MATEX TANK TERMINALS railroad safety violation 2008 FRA $9,500
WHEELABRATOR MILLBURY INC. workplace safety or health violation 2018 OSHA $9,472
Wheelabrator Lisbon, Inc. environmental violation 2013 CT-ENV $9,350
Cleco Corp workplace safety or health violation 2012 MSHA $9,310
International Matex Tank Terminals railroad safety violation 2017 FRA $9,150
GOODRICH AVIATION TECH SRV INC environmental violation 2004 WA-ENV $9,000
Waddell & Reed, Inc. investor protection violation 2003 FL-OFR $8,800
CLECO CORPORATION workplace safety or health violation 2017 OSHA $8,626
International Matex Tank Terminals railroad safety violation 2017 FRA $8,250
IMTT, INC. railroad safety violation 2011 FRA $8,000
International Matex Tank Terminals railroad safety violation 2009 FRA $8,000
International Matex Tank Terminals railroad safety violation 2009 FRA $8,000
International Matex Tank Terminals railroad safety violation 2012 FRA $8,000
INTERNATIONAL MATEX TANK TERMINALS railroad safety violation 2008 FRA $8,000
INTERNATIONAL MATEX TANK TERMINALS railroad safety violation 2008 FRA $8,000
IMTT BAYONNE railroad safety violation 2016 FRA $8,000
IMTT BAYONNE railroad safety violation 2016 FRA $8,000
IMTT BAYONNE LLC environmental violation 2020 NJ-ENV $8,000
IMTT INTERTERMINALL PIPELINE environmental violation 2004 NJ-ENV $8,000
Wheelabrator Portsmouth Inc. environmental violation 2016 VA-ENV $7,669
IMTT, INC. railroad safety violation 2011 FRA $7,500
International Matex Tank Terminals railroad safety violation 2011 FRA $7,500
IMTT, INC. railroad safety violation 2015 FRA $7,500
IMTT BAYONNE railroad safety violation 2008 FRA $7,500
WHEELABRATOR NORTH ANDOVER workplace safety or health violation 2019 OSHA $7,500
IMTT, INC. railroad safety violation 2014 FRA $7,200
WHEELABRATOR CONCORD INC. workplace safety or health violation 2019 OSHA $7,100
GOODRICH AVIATION TECHNICAL SERVICES INC aviation safety violation 2007 FAA $7,000
THE GAS COMPANY, LLC workplace safety or health violation 2013 OSHA $7,000
IMTT Bayonne railroad safety violation 2020 FRA $6,900
IMTT Bayonne railroad safety violation 2020 FRA $6,900
IMTT Bayonne railroad safety violation 2020 FRA $6,900
WHEELABRATOR PORTSMOUTH workplace safety or health violation 2010 OSHA $6,890
Gas Incorporated motor vehicle safety violation 2012 FMCSA $6,140
WHEELABRATOR GLOUCESTER COMPANY L P environmental violation 2017 NJ-ENV $6,000
IMTT BAYONNE railroad safety violation 2008 FRA $5,625
CLECO CORPORATION workplace safety or health violation 2017 OSHA $5,545
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)