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267 Violation Tracker results found

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgency sort iconPenalty Amount
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2017MO-SEC$25,672
Wells Fargo Home Mortgage IncWells Fargofinancial serviceswage and hour violation2010MI-LEO$9,222
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023ME-SEC$5,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2008MD-SEC$50,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2012MD-SEC$50,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007MD-AG$402,386
Wells FargoWells Fargofinancial servicesmortgage abuses2012MD-AG$940,056
Wells Fargo BankWells Fargofinancial servicesmortgage abuses2015MD-AG$13,800,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020MD-AG$20,000,000
Wells Fargo Clearing Services, LLCWells Fargofinancial servicesinvestor protection violation2019MA-SEC$450,000
Wells Fargo BankWells Fargofinancial servicesmortgage abuses2015MA-AG$675,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2010IN-SEC$8,495
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2017IL-SEC$270,000
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 servicestoxic securities abuses2018IL-AG$17,250,000
Wells Fargo Home MortgageWells Fargofinancial servicesdiscriminatory practices (non-employment)2014HUD$5,000,000
Wells Fargo BankWells Fargofinancial servicesdiscriminatory practices (non-employment)2021HUD$125,000
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
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2005FINRA$2,970,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$650,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$150,000
Wachovia Securities, LLC.Wells Fargofinancial servicesinvestor protection violation2004FINRA$39,486
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001FINRA$20,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2001FINRA$10,000
First Union Brokerage Services, Inc.Wells Fargofinancial servicesinvestor protection violation2001FINRA$32,500
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$350,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$5,890,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$100,000
Wachovia BankWells Fargofinancial servicesanti-money-laundering deficiencies2010FINCEN$110,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2013FHFA$591,000,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicestoxic securities abuses2013FHFA$869,000,000
Wells Fargo & CompanyWells Fargofinancial servicesbanking violation2012FED$87,000,000
Wells Fargo & CompanyWells Fargofinancial servicesbanking violation2011FED$85,000,000
Wells Fargo & Co.Wells Fargofinancial servicesbanking violation2023FED$67,762,500
WELLS FARGO FINANCIAL BANKWells Fargofinancial servicesbanking violation2009FDIC$125,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesemployment discrimination2014EEOC$290,000
Wells Fargo & CompanyWells Fargofinancial servicesemployment discrimination2014EEOC$295,000
Wells Fargo Financial Texas, Inc.Wells Fargofinancial servicesemployment discrimination2003EEOC$110,000
Wachovia National Bank, N.A.Wells Fargofinancial servicesbenefit plan administrator violation2000EBSA$30,000,000
Wells Fargo and CompanyWells Fargofinancial servicesbenefit plan administrator violation2022EBSA$145,000,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesbankruptcy professional violation2015DOJ_UTP$81,600,000
Wells Fargo BankWells Fargofinancial servicesmortgage abuses2012DOJ_RIGHTS$234,300,000
Wells Fargo & CompanyWells Fargofinancial servicesAmericans with Disabilities Act2011DOJ_RIGHTS$16,055,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesconsumer protection violation2016DOJ_RIGHTS$4,100,000
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer ServicesWells Fargofinancial servicesconsumer protection violation2017DOJ_RIGHTS$5,400,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesFalse Claims Act and related2016DOJ_CIVIL$1,200,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicestoxic securities abuses2018DOJ_CIVIL$2,090,000,000
Wells Fargo & CompanyWells Fargofinancial servicesfraud2020DOJ_CIVIL$3,000,000,000
Wachovia Bank N.A.Wells Fargofinancial servicesprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$148,000,000
Wells Fargo & CompanyWells Fargofinancial servicesmortgage abuses2012DOJ$5,342,200,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009DE-AG$309,000
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 BankWells Fargofinancial servicesconsumer protection violation2011CT-AG$741,465
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesdata submission deficiencies2003CFTC$45,000
Prudential Securities, Inc.Wells Fargofinancial servicesdata submission deficiencies2002CFTC$65,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesdata submission deficiencies2016CFTC$400,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019CFTC$14,475,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2023CFTC$75,000,000
Wells FargoWells Fargofinancial servicesconsumer protection violation2015CFPB$34,800,000
Wells Fargo BankWells Fargofinancial servicesconsumer protection violation2016CFPB$4,010,000
Wells Fargo BankWells Fargofinancial servicesbanking violation2016CFPB$100,000,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesconsumer protection violation2018CFPB$500,000,000
Wells Fargo BankWells Fargofinancial servicesconsumer protection violation2022CFPB$3,700,000,000
Wells Fargo Home Mortgage, Inc.Wells Fargofinancial servicesconsumer protection violation2003CA-SCCDA$25,000
Wells Fargo Bank, National AssociationWells Fargofinancial serviceswage and hour violation2022CA-LCO$9,795
Wells Fargo Bank, National AssociationWells Fargofinancial serviceswage and hour violation2013CA-LCO$37,036
Wells Fargo Bank, National AssociationWells Fargofinancial serviceswage and hour violation2005CA-LCO$6,572
Wells Fargo Bank, National AssociationWells Fargofinancial serviceswage and hour violation2022CA-LCO$12,399
Wells FargoWells Fargofinancial servicesconsumer protection violation2016CA-LACA$50,000,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc.Wells Fargofinancial servicesinsurance violation2019CA-INS$5,345,816
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 FargoWells Fargofinancial servicesmortgage abuses2010CA-AG$33,868,615
Wells FargoWells Fargofinancial servicesinvestor protection violation2009CA-AG$1,400,000,000
Wells Fargo BankWells Fargofinancial servicesprivacy violation2016CA-AG$8,500,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2010AK-DBS$129,131
Wells FargoWells Fargofinancial serviceswage and hour violation2018private lawsuit-state$27,500,000
Wells FargoWells Fargofinancial serviceswage and hour violation2017private lawsuit-state$13,000,000
Wells Fargo AdvisorsWells Fargofinancial serviceswage and hour violation2017private lawsuit-federal$3,500,000
Wells FargoWells Fargofinancial serviceswage and hour violation2017private lawsuit-federal$685,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.