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267 Violation Tracker results found

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009FINRA$275,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2017IL-SEC$270,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007CT-SEC$258,728
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2007FINRA$250,000
Wells Fargo Bank, National AssociationWells Fargofinancial serviceswage and hour violation2004WHD$228,209
WELLS FARGO ADVISORSWells Fargofinancial servicesinvestor protection violation2015VA-SEC$205,000
Norwest Investment Services, Inc.Wells Fargofinancial servicesinvestor protection violation2002SEC$153,245
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$150,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2010AK-DBS$129,131
WELLS FARGO FINANCIAL BANKWells Fargofinancial servicesbanking violation2009FDIC$125,000
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 servicesdiscriminatory practices (non-employment)2021HUD$125,000
A.G. Edwards and Sons Inc.Wells Fargofinancial serviceseconomic sanction violation2008OFAC$122,358
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2005OCC$115,000
Wells Fargo Financial Texas, Inc.Wells Fargofinancial servicesemployment discrimination2003EEOC$110,000
Wells Fargo & CompanyWells Fargofinancial serviceswage and hour violation2014WHD$100,001
Wells Fargo BankWells Fargofinancial serviceswage and hour violation2011private lawsuit-federal$100,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$100,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2010CT-SEC$75,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007ND-SEC$75,000
Wells Fargo Bank, N.AWells Fargofinancial serviceseconomic sanction violation2010OFAC$67,500
Prudential Securities, Inc.Wells Fargofinancial servicesdata submission deficiencies2002CFTC$65,000
Wells Fargo Bank N.A.Wells Fargofinancial serviceswage and hour violation2019WHD$57,675
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2009OCC$51,205
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 servicesdata submission deficiencies2003CFTC$45,000
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$42,833
Wachovia Securities, LLC.Wells Fargofinancial servicesinvestor protection violation2004FINRA$39,486
Wells Fargo BankWells Fargofinancial serviceswage and hour violation2016WHD$38,230
Wells Fargo Bank, National AssociationWells Fargofinancial serviceswage and hour violation2013CA-LCO$37,036
Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2016NH-BSR$35,000
Wells Fargo Financial BankWells Fargofinancial servicesconsumer protection violation2003NY-AG$33,500
First Union Brokerage Services, Inc.Wells Fargofinancial servicesinvestor protection violation2001FINRA$32,500
Wells Fargo Bank NAWells Fargofinancial serviceswage and hour violation2011WHD$31,770
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2017MO-SEC$25,672
Wells Fargo Home Mortgage, Inc.Wells Fargofinancial servicesconsumer protection violation2003CA-SCCDA$25,000
Wells Fargo Bank, N.A.Wells Fargofinancial serviceseconomic sanction violation2013OFAC$23,937
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2003NE-DBF$20,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001FINRA$20,000
First Union BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$18,740
WELLS FARGO BANK NAWells Fargofinancial serviceswage and hour violation2022IL-DOL$18,049
WELLS FARGO BANK NAWells Fargofinancial serviceswage and hour violation2022IL-DOL$18,049
Wells FargoWells Fargofinancial servicesemployment discrimination2015OFCCP$14,000
Wells Fargo Bank, National AssociationWells Fargofinancial serviceswage and hour violation2022CA-LCO$12,399
WELLS FARGO BANK #1692Wells Fargofinancial servicesworkplace safety or health violation2013OSHA$12,000
Wells Fargo Bank, N. A.Wells Fargofinancial servicesFamily and Medical Leave Act2016WHD$11,874
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2007OFAC$11,000
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$11,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2001FINRA$10,000
Wells FargoWells Fargofinancial servicesAmericans with Disabilities Act2023USAO$10,000
Wells Fargo Bank, National AssociationWells Fargofinancial serviceswage and hour violation2022CA-LCO$9,795
Wells Fargo Home Mortgage IncWells Fargofinancial serviceswage and hour violation2010MI-LEO$9,222
First Union BankWells Fargofinancial serviceslabor relations violation2000NLRB$9,116
WELLS FARGO BANK, NAWells Fargofinancial servicesworkplace safety or health violation2017OSHA$9,000
Ragen Mackenzie Investment Services LLCWells Fargofinancial servicesinvestor protection violation2004OR-FIN$8,500
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2010IN-SEC$8,495
Wells Fargo Fund Distributor, LLCWells Fargofinancial servicesconsumer protection violation2014CA-DFPI$8,000
Wells Fargo Bank, National AssociationWells Fargofinancial serviceswage and hour violation2005CA-LCO$6,572
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$5,500
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2003OFAC$5,500
Wells Fargo Guard Services labor relations violation2000NLRB$5,360
Wells Fargo BankWells Fargofinancial servicesFamily and Medical Leave Act2006WHD$5,152
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2008TX-SEC$5,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023ME-SEC$5,000
WELLS FARGO SECURITIES, LLC.Wells Fargofinancial servicesworkplace safety or health violation2004OSHA$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.