Basic Search  |  Summaries  |  Advanced Search

267 Violation Tracker results found

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Wachovia SecuritiesWells Fargofinancial servicesbenefit plan administrator violation2009private lawsuit-federal$1,005,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesbankruptcy professional violation2015DOJ_UTP$81,600,000
Wells Fargo SecuritiesWells Fargofinancial servicesinvestor protection violation2019SEC$812,500
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2019SEC$17,363,847
Wells Fargo BankWells Fargofinancial servicesemployment screening violation2016private lawsuit-federal$12,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2008NJ-AG$387,000
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
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 Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2006MULTI-AG$25,000,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007MD-AG$402,386
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2008MULTI-AG$60,000,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009DE-AG$309,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2011NJ-AG$3,200,000
Wells FargoWells Fargofinancial servicesconsumer protection violation2010MULTI-AG$23,700,000
Wells FargoWells Fargofinancial servicesmortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,005,233,716
Wells FargoWells Fargofinancial servicesmortgage abuses2010CA-AG$33,868,615
Wells FargoWells Fargofinancial servicesinvestor protection violation2009CA-AG$1,400,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2018IL-AG$17,250,000
Wells FargoWells Fargofinancial servicesmortgage abuses2012MD-AG$940,056
Wells FargoWells Fargofinancial servicesconsumer protection violation2004NY-AG$2,900,000
Wells FargoWells Fargofinancial servicesconsumer protection violation2016WV-AG$8,000,000
Wells Fargo & CompanyWells Fargofinancial servicesinvestor protection violation2018NY-AG$65,000,000
Wells Fargo BankWells Fargofinancial servicesconsumer protection violation2011CT-AG$741,465
Wells Fargo BankWells Fargofinancial servicesmortgage abuses2015MA-AG$675,000
Wells Fargo BankWells Fargofinancial servicesmortgage abuses2015MD-AG$13,800,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesbanking violation2018MULTI-AG$575,000,000
Wells Fargo BankWells Fargofinancial servicesprivacy violation2016CA-AG$8,500,000
Wells Fargo Financial BankWells Fargofinancial servicesconsumer protection violation2003NY-AG$33,500
Wells Fargo Financial Leasing, Inc.Wells Fargofinancial servicesconsumer protection violation2005MULTI-AG$10,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019CFTC$14,475,000
Wells Fargo Bank, N.A.Wells Fargofinancial serviceseconomic sanction violation2013OFAC$23,937
Wells Fargo Bank, N.AWells Fargofinancial serviceseconomic sanction violation2010OFAC$67,500
Wells Fargo Bank N.A.Wells Fargofinancial servicesemployment discrimination2019OFCCP$283,697
Wells FargoWells Fargofinancial servicesconsumer protection violation2016CA-LACA$50,000,000
Wells Fargo Home Mortgage, Inc.Wells Fargofinancial servicesconsumer protection violation2003CA-SCCDA$25,000
Wells Fargo Financial Texas, Inc.Wells Fargofinancial servicesemployment discrimination2003EEOC$110,000
Wells Fargo BankWells Fargofinancial servicesFalse Claims Act and related2008USAO$4,046,786
Wells Fargo Bank N.A.Wells Fargofinancial serviceswage and hour violation2019WHD$57,675
Wells Fargo BankWells Fargofinancial serviceswage and hour violation2016WHD$38,230
Wells Fargo & CompanyWells Fargofinancial serviceswage and hour violation2014WHD$100,001
Wells Fargo & CompanyWells Fargofinancial serviceswage and hour violation2020private lawsuit-federal$35,000,000
Wells Fargo & CompanyWells Fargofinancial servicesfraud2020DOJ_CIVIL$3,000,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesinvestor protection violation2020SEC$35,000,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2010AK-DBS$129,131
Wells Fargo Financial California, Inc.Wells Fargofinancial servicesconsumer protection violation2005CA-DFPI$1,621,010
Wells Fargo Fund Distributor, LLCWells Fargofinancial servicesconsumer protection violation2014CA-DFPI$8,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc.Wells Fargofinancial servicesinsurance violation2019CA-INS$5,345,816
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007CT-SEC$258,728
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2010CT-SEC$75,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2017IL-SEC$270,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2010IN-SEC$8,495
Wells Fargo Clearing Services, LLCWells Fargofinancial servicesinvestor protection violation2019MA-SEC$450,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2008MD-SEC$50,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2012MD-SEC$50,000
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
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007ND-SEC$75,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2003NE-DBF$20,000
Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2016NH-BSR$35,000
Wells Fargo BankWells Fargofinancial servicesconsumer protection violation2015NY-DFS$4,000,000
Ragen Mackenzie Investment Services LLCWells Fargofinancial servicesinvestor protection violation2004OR-FIN$8,500
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
WELLS FARGO ADVISORSWells Fargofinancial servicesinvestor protection violation2015VA-SEC$205,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2016VT-FIN$300,000
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2007MULTI-FIN$24,650,000
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
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009MULTI-FIN$1,900,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020MD-AG$20,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesemployment discrimination2020OFCCP$7,800,000
Wells Fargo & Co.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2019private lawsuit-federal$10,000,000
Wells FargoWells Fargofinancial servicesdiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2011private lawsuit-state$3,520,000
WFS Financial, Inc.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2004private lawsuit-federal$4,550,000
Wells Fargo BankWells Fargofinancial serviceswage and hour violation2020private lawsuit-federal$10,928,870
Wells Fargo & CompanyWells Fargofinancial servicesbenefit plan administrator violation2020private lawsuit-federal$79,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial serviceswage and hour violation2020private lawsuit-federal$25,696,122
Wells Fargo Bank, N.A.Wells Fargofinancial servicesprivacy violation2017private lawsuit-federal$30,446,022
Wells Fargo & Co.Wells Fargofinancial servicesemployment discrimination2021private lawsuit-federal$18,700,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2020FINRA$2,075,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2017FINRA$3,400,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016FINRA$4,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2016FINRA$1,500,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2015FINRA$15,000,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesanti-money-laundering deficiencies2014FINRA$1,500,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2014FINRA$4,000,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2013FINRA$3,250,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2012FINRA$1,931,488
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2011FINRA$2,000,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2011FINRA$1,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009FINRA$275,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009FINRA$1,400,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2009FINRA$1,100,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009FINRA$4,500,000
Prudential SecuritiesWells Fargofinancial servicesinvestor protection violation2008FINRA$1,050,000
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
Wells Fargo InvestmentsWells Fargofinancial servicesinvestor protection violation2005FINRA$3,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.