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 TypeYearAgency sort iconPenalty Amount
Wells FargoWells Fargofinancial servicesconsumer protection violation2016WV-AG$8,000,000
Wells Fargo Bank, N. A.Wells Fargofinancial servicesFamily and Medical Leave Act2016WHD$11,874
Wells Fargo Bank NAWells Fargofinancial serviceswage and hour violation2011WHD$31,770
Wells Fargo BankWells Fargofinancial servicesFamily and Medical Leave Act2006WHD$5,152
Wells Fargo Bank, National AssociationWells Fargofinancial serviceswage and hour violation2004WHD$228,209
Wachovia BankWells Fargofinancial serviceswage and hour violation2004WHD$5,798,744
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 Advisors LLCWells Fargofinancial servicesinvestor protection violation2016VT-FIN$300,000
WELLS FARGO ADVISORSWells Fargofinancial servicesinvestor protection violation2015VA-SEC$205,000
Wachovia Bank N.A.Wells Fargofinancial servicesanti-money-laundering deficiencies2010USAO$50,000,000
Wells Fargo BankWells Fargofinancial servicesFalse Claims Act and related2008USAO$4,046,786
Wells Fargo Bank, N.A.Wells Fargofinancial servicesbanking violation2021USAO$72,600,000
Wells FargoWells Fargofinancial servicesAmericans with Disabilities Act2023USAO$10,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2008TX-SEC$5,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2014SEC$5,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2012SEC$6,500,000
Wells Fargo Securities LLCWells Fargofinancial servicestoxic securities abuses2011SEC$11,000,000
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009SEC$40,000,000
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. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006SEC$125,000
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
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003SEC$382,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000SEC$5,880,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesanti-money-laundering deficiencies2017SEC$3,500,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargofinancial servicesinvestor protection violation2016SEC$440,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018SEC$5,108,441
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$2,185,927
Norwest Investment Services, Inc.Wells Fargofinancial servicesinvestor protection violation2002SEC$153,245
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001SEC$800,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000SEC$408,931
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 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
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022SEC$7,000,000
Wells Fargo Securities, LLC et al.Wells Fargofinancial servicesinvestor protection violation2023SEC$125,000,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023SEC$35,000,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2007SC-SEC$575,000
Wells FargoWells Fargofinancial servicesworkplace whistleblower retaliation2017OSHA$577,500
Wells Fargo Bank N.AWells Fargofinancial servicesworkplace whistleblower retaliation2017OSHA$5,400,000
Wells FargoWells Fargofinancial servicesworkplace whistleblower retaliation2022OSHA$22,000,000
WELLS FARGO SECURITIES, LLC.Wells Fargofinancial servicesworkplace safety or health violation2004OSHA$5,000
WELLS FARGO BANK #1692Wells Fargofinancial servicesworkplace safety or health violation2013OSHA$12,000
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 FargoWells Fargofinancial servicesemployment discrimination2015OFCCP$14,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesemployment discrimination2019OFCCP$283,697
Wells Fargo Bank, N.A.Wells Fargofinancial servicesemployment discrimination2020OFCCP$7,800,000
A.G. Edwards and Sons Inc.Wells Fargofinancial serviceseconomic sanction violation2008OFAC$122,358
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2007OFAC$11,000
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$5,500
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$42,833
First Union BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$18,740
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$11,000
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2003OFAC$5,500
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 & Co.Wells Fargofinancial serviceseconomic sanction violation2023OFAC$30,000,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2015OCC$4,000,000
Wells FargoWells Fargofinancial servicesbanking violation2013OCC$1,991,141,181
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2011OCC$34,500,000
Wachovia Bank N.A.Wells Fargofinancial servicesbanking violation2010OCC$50,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesbanking violation2016OCC$70,000,000
Wells Fargo BankWells Fargofinancial servicesbanking violation2016OCC$35,000,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2009OCC$51,205
Wachovia Bank, National AssociationWells Fargofinancial servicesbanking violation2008OCC$168,900,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2005OCC$115,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesconsumer protection violation2016OCC$20,000,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesbanking violation2018OCC$500,000,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2021OCC$250,000,000
Wells Fargo BankWells Fargofinancial servicesconsumer protection violation2015NY-DFS$4,000,000
Wells FargoWells Fargofinancial servicesconsumer protection violation2004NY-AG$2,900,000
Wells Fargo & CompanyWells Fargofinancial servicesinvestor protection violation2018NY-AG$65,000,000
Wells Fargo Financial BankWells Fargofinancial servicesconsumer protection violation2003NY-AG$33,500
Wells Fargo Guard Services labor relations violation2000NLRB$5,360
First Union BankWells Fargofinancial serviceslabor relations violation2000NLRB$9,116
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2008NJ-AG$387,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2011NJ-AG$3,200,000
Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2016NH-BSR$35,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2003NE-DBF$20,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007ND-SEC$75,000
WachoviaWells Fargofinancial servicestoxic securities abuses2015NCUA$53,000,000
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
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 SecuritiesWells Fargofinancial servicesinvestor protection violation2008MULTI-AG$60,000,000
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 Fargo Bank N.A.Wells Fargofinancial servicesbanking violation2018MULTI-AG$575,000,000
Wells Fargo Financial Leasing, Inc.Wells Fargofinancial servicesconsumer protection violation2005MULTI-AG$10,000,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.