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267 Violation Tracker results found

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconAgencyPenalty Amount
Wells Fargo BankWells Fargofinancial servicesFalse Claims Act and related2008USAO$4,046,786
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2008MD-SEC$50,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2008TX-SEC$5,000
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
Prudential SecuritiesWells Fargofinancial servicesinvestor protection violation2008FINRA$1,050,000
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2007OFAC$11,000
Evergreen Investment Management CompanyWells Fargofinancial servicesinvestor protection violation2007SEC$32,500,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007SEC$3,860,000
A.G. EdwardsWells Fargofinancial serviceswage and hour violation2007private lawsuit-federal$20,000,000
Wells FargoWells Fargofinancial serviceswage and hour violation2007private lawsuit-federal$12,800,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007MD-AG$402,386
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007CT-SEC$258,728
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007ND-SEC$75,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2007SC-SEC$575,000
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2007MULTI-FIN$24,650,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007FINRA$300,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2007FINRA$250,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007FINRA$2,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006SEC$125,000
Wells Fargo BankWells Fargofinancial servicesFamily and Medical Leave Act2006WHD$5,152
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$2,185,927
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2006MULTI-AG$25,000,000
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$5,500
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$42,833
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2005OCC$115,000
Wells Fargo Financial Leasing, Inc.Wells Fargofinancial servicesconsumer protection violation2005MULTI-AG$10,000,000
Wells Fargo Financial California, Inc.Wells Fargofinancial servicesconsumer protection violation2005CA-DFPI$1,621,010
Wells Fargo InvestmentsWells Fargofinancial servicesinvestor protection violation2005FINRA$3,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2005FINRA$2,970,000
Wells Fargo Bank, National AssociationWells Fargofinancial serviceswage and hour violation2005CA-LCO$6,572
First Union BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$18,740
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$11,000
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004SEC$37,000,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2004SEC$80,000,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2004SEC$4,844,465
Wells Fargo Bank, National AssociationWells Fargofinancial serviceswage and hour violation2004WHD$228,209
Wachovia BankWells Fargofinancial serviceswage and hour violation2004WHD$5,798,744
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
Wells FargoWells Fargofinancial servicesconsumer protection violation2004NY-AG$2,900,000
Ragen Mackenzie Investment Services LLCWells Fargofinancial servicesinvestor protection violation2004OR-FIN$8,500
WFS Financial, Inc.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2004private lawsuit-federal$4,550,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$650,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$150,000
Wachovia Securities, LLC.Wells Fargofinancial servicesinvestor protection violation2004FINRA$39,486
WELLS FARGO SECURITIES, LLC.Wells Fargofinancial servicesworkplace safety or health violation2004OSHA$5,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesdata submission deficiencies2003CFTC$45,000
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2003OFAC$5,500
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003SEC$382,000
Wells Fargo Financial BankWells Fargofinancial servicesconsumer protection violation2003NY-AG$33,500
Wells Fargo Home Mortgage, Inc.Wells Fargofinancial servicesconsumer protection violation2003CA-SCCDA$25,000
Wells Fargo Financial Texas, Inc.Wells Fargofinancial servicesemployment discrimination2003EEOC$110,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2003NE-DBF$20,000
Prudential Securities, Inc.Wells Fargofinancial servicesdata submission deficiencies2002CFTC$65,000
Norwest Investment Services, Inc.Wells Fargofinancial servicesinvestor protection violation2002SEC$153,245
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001SEC$800,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001FINRA$20,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2001FINRA$10,000
First Union Brokerage Services, Inc.Wells Fargofinancial servicesinvestor protection violation2001FINRA$32,500
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000SEC$5,880,000
Wells Fargo Guard Services labor relations violation2000NLRB$5,360
First Union BankWells Fargofinancial serviceslabor relations violation2000NLRB$9,116
Wachovia National Bank, N.A.Wells Fargofinancial servicesbenefit plan administrator violation2000EBSA$30,000,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000SEC$408,931
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$350,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$5,890,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.