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 ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Wachovia CorporationWells Fargofinancial servicesbenefit plan administrator violation2011private lawsuit-federal$12,350,000
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
Wells Fargo Securities LLCWells Fargofinancial servicestoxic securities abuses2011SEC$11,000,000
Wells Fargo BankWells Fargofinancial serviceswage and hour violation2020private lawsuit-federal$10,928,870
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 Advisors, LLCWells Fargofinancial serviceswage and hour violation2018private lawsuit-federal$9,500,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$8,750,000
Wells Fargo BankWells Fargofinancial servicesprivacy violation2016CA-AG$8,500,000
Wells FargoWells Fargofinancial servicesconsumer protection violation2016WV-AG$8,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesemployment discrimination2020OFCCP$7,800,000
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 & CompanyWells Fargofinancial servicesbenefit plan administrator violation2015private lawsuit-federal$7,420,000
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022SEC$7,000,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesconsumer protection violation2021private lawsuit-federal$6,945,095
Wells FargoWells Fargofinancial serviceswage and hour violation2011private lawsuit-federal$6,900,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesconsumer protection violation2012private lawsuit-federal$6,778,000
Wells FargoWells Fargofinancial serviceswage and hour violation2011private lawsuit-federal$6,720,000
Wells FargoWells Fargofinancial serviceswage and hour violation2011private lawsuit-federal$6,660,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2012SEC$6,500,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$5,890,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000SEC$5,880,000
Wachovia BankWells Fargofinancial serviceswage and hour violation2004WHD$5,798,744
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
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc.Wells Fargofinancial servicesinsurance violation2019CA-INS$5,345,816
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018SEC$5,108,441
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2014SEC$5,000,000
Wells Fargo Home MortgageWells Fargofinancial servicesdiscriminatory practices (non-employment)2014HUD$5,000,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2004SEC$4,844,465
WFS Financial, Inc.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2004private lawsuit-federal$4,550,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009FINRA$4,500,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesconsumer protection violation2016DOJ_RIGHTS$4,100,000
Wells Fargo BankWells Fargofinancial servicesFalse Claims Act and related2008USAO$4,046,786
Wells Fargo BankWells Fargofinancial servicesconsumer protection violation2016CFPB$4,010,000
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 FargoWells Fargofinancial serviceswage and hour violation2017private lawsuit-federal$3,900,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007SEC$3,860,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2011private lawsuit-state$3,520,000
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 Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2017FINRA$3,400,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2013FINRA$3,250,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2011NJ-AG$3,200,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesconsumer protection violation2012private lawsuit-federal$3,190,000
Wells FargoWells Fargofinancial serviceswage and hour violation2014private lawsuit-state$3,000,000
Wells Fargo InvestmentsWells Fargofinancial servicesinvestor protection violation2005FINRA$3,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2005FINRA$2,970,000
Wells FargoWells Fargofinancial servicesconsumer protection violation2004NY-AG$2,900,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$2,185,927
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2020FINRA$2,075,000
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 Advisors, LLCWells Fargofinancial servicesinvestor protection violation2012FINRA$1,931,488
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009MULTI-FIN$1,900,000
Wells Fargo BankWells Fargofinancial serviceswage and hour violation2015private lawsuit-federal$1,850,000
Wells Fargo Financial California, Inc.Wells Fargofinancial servicesconsumer protection violation2005CA-DFPI$1,621,010
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
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009FINRA$1,400,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2009FINRA$1,100,000
Prudential SecuritiesWells Fargofinancial servicesinvestor protection violation2008FINRA$1,050,000
Wachovia SecuritiesWells Fargofinancial servicesbenefit plan administrator violation2009private lawsuit-federal$1,005,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2011FINRA$1,000,000
Wells FargoWells Fargofinancial servicesmortgage abuses2012MD-AG$940,056
Wells Fargo Bank N.A.Wells Fargofinancial servicesconsumer protection violation2017private lawsuit-federal$880,000
Wells Fargo SecuritiesWells Fargofinancial servicesinvestor protection violation2019SEC$812,500
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001SEC$800,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2011MO-SEC$765,993
Wells Fargo Bank N.A.Wells Fargofinancial servicesconsumer protection violation2017private lawsuit-federal$750,000
Wells Fargo BankWells Fargofinancial servicesconsumer protection violation2011CT-AG$741,465
Wells FargoWells Fargofinancial serviceswage and hour violation2017private lawsuit-federal$685,000
Wells Fargo BankWells Fargofinancial servicesmortgage abuses2015MA-AG$675,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$650,000
Wells FargoWells Fargofinancial servicesworkplace whistleblower retaliation2017OSHA$577,500
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2007SC-SEC$575,000
Wachovia Financial ServicesWells Fargofinancial serviceswage and hour violation2010private lawsuit-federal$450,000
Wells Fargo Clearing Services, LLCWells Fargofinancial servicesinvestor protection violation2019MA-SEC$450,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargofinancial servicesinvestor protection violation2016SEC$440,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000SEC$408,931
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007MD-AG$402,386
Wells Fargo Bank, N.A.Wells Fargofinancial servicesdata submission deficiencies2016CFTC$400,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2008NJ-AG$387,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003SEC$382,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$350,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009DE-AG$309,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2016VT-FIN$300,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007FINRA$300,000
Wells Fargo & CompanyWells Fargofinancial servicesemployment discrimination2014EEOC$295,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesemployment discrimination2014EEOC$290,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesemployment discrimination2019OFCCP$283,697
Wells Fargo BankWells Fargofinancial serviceswage and hour violation2012private lawsuit-federal$280,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009FINRA$275,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.