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267 Violation Tracker results found

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2016FINRA$1,500,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesanti-money-laundering deficiencies2014FINRA$1,500,000
Wells Fargo Financial California, Inc.Wells Fargofinancial servicesconsumer protection violation2005CA-DFPI$1,621,010
Wells Fargo BankWells Fargofinancial serviceswage and hour violation2015private lawsuit-federal$1,850,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009MULTI-FIN$1,900,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2012FINRA$1,931,488
Wells Fargo Insurance ServicesWells Fargofinancial serviceswage and hour violation2015private lawsuit-federal$2,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2011FINRA$2,000,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007FINRA$2,000,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2020FINRA$2,075,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$2,185,927
Wells FargoWells Fargofinancial servicesconsumer protection violation2004NY-AG$2,900,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2005FINRA$2,970,000
Wells FargoWells Fargofinancial serviceswage and hour violation2014private lawsuit-state$3,000,000
Wells Fargo InvestmentsWells Fargofinancial servicesinvestor protection violation2005FINRA$3,000,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesconsumer protection violation2012private lawsuit-federal$3,190,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2011NJ-AG$3,200,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2013FINRA$3,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2017FINRA$3,400,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesanti-money-laundering deficiencies2017SEC$3,500,000
Wells Fargo AdvisorsWells Fargofinancial serviceswage and hour violation2017private lawsuit-federal$3,500,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2011private lawsuit-state$3,520,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007SEC$3,860,000
Wells FargoWells Fargofinancial serviceswage and hour violation2017private lawsuit-federal$3,900,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2015OCC$4,000,000
Wells Fargo AdvisorsWells Fargofinancial serviceswage and hour violation2013private lawsuit-federal$4,000,000
Wells Fargo BankWells Fargofinancial servicesconsumer protection violation2015NY-DFS$4,000,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016FINRA$4,000,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2014FINRA$4,000,000
Wells Fargo BankWells Fargofinancial servicesconsumer protection violation2016CFPB$4,010,000
Wells Fargo BankWells Fargofinancial servicesFalse Claims Act and related2008USAO$4,046,786
Wells Fargo Bank N.A.Wells Fargofinancial servicesconsumer protection violation2016DOJ_RIGHTS$4,100,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009FINRA$4,500,000
WFS Financial, Inc.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2004private lawsuit-federal$4,550,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2004SEC$4,844,465
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2014SEC$5,000,000
Wells Fargo Home MortgageWells Fargofinancial servicesdiscriminatory practices (non-employment)2014HUD$5,000,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018SEC$5,108,441
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc.Wells Fargofinancial servicesinsurance violation2019CA-INS$5,345,816
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer ServicesWells Fargofinancial servicesconsumer protection violation2017DOJ_RIGHTS$5,400,000
Wells Fargo Bank N.AWells Fargofinancial servicesworkplace whistleblower retaliation2017OSHA$5,400,000
Wachovia BankWells Fargofinancial serviceswage and hour violation2004WHD$5,798,744
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000SEC$5,880,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$5,890,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2012SEC$6,500,000
Wells FargoWells Fargofinancial serviceswage and hour violation2011private lawsuit-federal$6,660,000
Wells FargoWells Fargofinancial serviceswage and hour violation2011private lawsuit-federal$6,720,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesconsumer protection violation2012private lawsuit-federal$6,778,000
Wells FargoWells Fargofinancial serviceswage and hour violation2011private lawsuit-federal$6,900,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesconsumer protection violation2021private lawsuit-federal$6,945,095
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022SEC$7,000,000
Wells Fargo & CompanyWells Fargofinancial servicesbenefit plan administrator violation2015private lawsuit-federal$7,420,000
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 servicesemployment discrimination2020OFCCP$7,800,000
Wells FargoWells Fargofinancial servicesconsumer protection violation2016WV-AG$8,000,000
Wells Fargo BankWells Fargofinancial servicesprivacy violation2016CA-AG$8,500,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$8,750,000
Wells Fargo Advisors, LLCWells Fargofinancial serviceswage and hour violation2018private lawsuit-federal$9,500,000
Wells Fargo Financial Leasing, Inc.Wells Fargofinancial servicesconsumer protection violation2005MULTI-AG$10,000,000
Wells Fargo & Co.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2019private lawsuit-federal$10,000,000
Wells Fargo BankWells Fargofinancial serviceswage and hour violation2020private lawsuit-federal$10,928,870
Wells Fargo Securities LLCWells Fargofinancial servicestoxic securities abuses2011SEC$11,000,000
A.G. EdwardsWells Fargofinancial serviceswage and hour violation2009private lawsuit-federal$12,000,000
Wells Fargo BankWells Fargofinancial servicesemployment screening violation2016private lawsuit-federal$12,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesconsumer protection violation2022private lawsuit-federal$12,000,000
Wachovia CorporationWells Fargofinancial servicesbenefit plan administrator violation2011private lawsuit-federal$12,350,000
Wells Fargo & Co.Wells Fargofinancial servicesconsumer protection violation2013private lawsuit-federal$12,500,000
Wells FargoWells Fargofinancial serviceswage and hour violation2007private lawsuit-federal$12,800,000
Wells FargoWells Fargofinancial serviceswage and hour violation2017private lawsuit-state$13,000,000
Wells Fargo & Co.Wells Fargofinancial servicesconsumer protection violation2019private lawsuit-federal$13,460,000
Wells Fargo BankWells Fargofinancial servicesmortgage abuses2015MD-AG$13,800,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019CFTC$14,475,000
Wells FargoWells Fargofinancial serviceswage and hour violation2014private lawsuit-federal$15,000,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2015FINRA$15,000,000
Wells Fargo & CompanyWells Fargofinancial servicesAmericans with Disabilities Act2011DOJ_RIGHTS$16,055,000
Wells Fargo Bank N.A.Wells Fargofinancial serviceswage and hour violation2024private lawsuit-federal$16,600,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2018IL-AG$17,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2019SEC$17,363,847
Wells Fargo & CompanyWells Fargofinancial servicesbenefit plan administrator violation2011private lawsuit-federal$17,500,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesconsumer protection violation2020private lawsuit-federal$18,500,000
Wells Fargo & Co.Wells Fargofinancial servicesemployment discrimination2021private lawsuit-federal$18,700,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesconsumer protection violation2016OCC$20,000,000
Wells FargoWells Fargofinancial serviceswage and hour violation2010private lawsuit-federal$20,000,000
A.G. EdwardsWells Fargofinancial serviceswage and hour violation2007private lawsuit-federal$20,000,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020MD-AG$20,000,000
Wells Fargo & CompanyWells Fargofinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$20,820,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesconsumer protection violation2022private lawsuit-federal$21,864,673
Wells FargoWells Fargofinancial servicesworkplace whistleblower retaliation2022OSHA$22,000,000
Wells FargoWells Fargofinancial servicesconsumer protection violation2010MULTI-AG$23,700,000
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2007MULTI-FIN$24,650,000
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2006MULTI-AG$25,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial serviceswage and hour violation2020private lawsuit-federal$25,696,122
Wells Fargo & Co.Wells Fargofinancial servicesconsumer protection violation2016private lawsuit-federal$25,750,000
Wells FargoWells Fargofinancial serviceswage and hour violation2018private lawsuit-state$27,500,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesprivacy violation2021private lawsuit-federal$28,000,000
Wachovia National Bank, N.A.Wells Fargofinancial servicesbenefit plan administrator violation2000EBSA$30,000,000
Wells Fargo & Co.Wells Fargofinancial serviceseconomic sanction violation2023OFAC$30,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesconsumer protection violation2019private lawsuit-federal$30,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesprivacy violation2017private lawsuit-federal$30,446,022
Wells Fargo AdvisorsWells Fargofinancial servicesemployment discrimination2011private lawsuit-federal$32,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.