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267 Violation Tracker results found

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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009DE-AG$309,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2011NJ-AG$3,200,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2010AK-DBS$129,131
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2008MD-SEC$50,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009FINRA$1,400,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007ND-SEC$75,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007FINRA$2,000,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$650,000
Wachovia SecuritiesWells Fargofinancial serviceswage and hour violation2009private lawsuit-federal$39,000,000
Wachovia SecuritiesWells Fargofinancial servicesbenefit plan administrator violation2009private lawsuit-federal$1,005,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2008MULTI-AG$60,000,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009FINRA$4,500,000
Wachovia National Bank, N.A.Wells Fargofinancial servicesbenefit plan administrator violation2000EBSA$30,000,000
Wachovia Financial ServicesWells Fargofinancial serviceswage and hour violation2010private lawsuit-federal$450,000
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004SEC$37,000,000
Wachovia CorporationWells Fargofinancial servicesbenefit plan administrator violation2011private lawsuit-federal$12,350,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007MD-AG$402,386
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007CT-SEC$258,728
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007FINRA$300,000
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2006MULTI-AG$25,000,000
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2007MULTI-FIN$24,650,000
Wachovia Bank, National AssociationWells Fargofinancial servicesbanking violation2008OCC$168,900,000
Wachovia Bank N.A.Wells Fargofinancial servicesprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$148,000,000
Wachovia Bank N.A.Wells Fargofinancial servicesbanking violation2010OCC$50,000,000
Wachovia Bank N.A.Wells Fargofinancial servicesanti-money-laundering deficiencies2010USAO$50,000,000
Wachovia Bank N.A.Wells Fargofinancial servicesprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $58,750,000
Wachovia BankWells Fargofinancial servicesanti-money-laundering deficiencies2010FINCEN$110,000,000
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2007OFAC$11,000
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$11,000
Wachovia BankWells Fargofinancial serviceswage and hour violation2004WHD$5,798,744
WachoviaWells Fargofinancial servicestoxic securities abuses2015NCUA$53,000,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2004SEC$80,000,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$2,185,927
Strong Capital Management Co.Wells Fargofinancial servicesinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000
Ragen Mackenzie Investment Services LLCWells Fargofinancial servicesinvestor protection violation2004OR-FIN$8,500
Prudential Securities, Inc.Wells Fargofinancial servicesdata submission deficiencies2002CFTC$65,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003SEC$382,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2001FINRA$10,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$100,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000SEC$5,880,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001SEC$800,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001FINRA$20,000
Prudential SecuritiesWells Fargofinancial servicesinvestor protection violation2008FINRA$1,050,000
Norwest Investment Services, Inc.Wells Fargofinancial servicesinvestor protection violation2002SEC$153,245
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000SEC$408,931
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$350,000
First Union Brokerage Services, Inc.Wells Fargofinancial servicesinvestor protection violation2001FINRA$32,500
First Union BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$18,740
First Union BankWells Fargofinancial serviceslabor relations violation2000NLRB$9,116
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009SEC$40,000,000
Evergreen Investment Management CompanyWells Fargofinancial servicesinvestor protection violation2007SEC$32,500,000
A.G. Edwards and Sons Inc.Wells Fargofinancial serviceseconomic sanction violation2008OFAC$122,358
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesdata submission deficiencies2003CFTC$45,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007SEC$3,860,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$125,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2008NJ-AG$387,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2011MO-SEC$765,993
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2017MO-SEC$25,672
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$5,890,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2003NE-DBF$20,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2007SC-SEC$575,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2008TX-SEC$5,000
A.G. EdwardsWells Fargofinancial serviceswage and hour violation2009private lawsuit-federal$12,000,000
A.G. EdwardsWells Fargofinancial serviceswage and hour violation2007private lawsuit-federal$20,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.