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.
Company | Current Parent | Current Parent Industry | Primary Offense Type | Year | Agency | Penalty Amount |
---|---|---|---|---|---|---|
Wachovia Securities | Wells Fargo | financial services | benefit plan administrator violation | 2009 | private lawsuit-federal | $1,005,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | bankruptcy professional violation | 2015 | DOJ_UTP | $81,600,000 |
Wells Fargo Securities | Wells Fargo | financial services | investor protection violation | 2019 | SEC | $812,500 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2019 | SEC | $17,363,847 |
Wells Fargo Bank | Wells Fargo | financial services | employment screening violation | 2016 | private lawsuit-federal | $12,000,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2008 | NJ-AG | $387,000 |
Strong Capital Management Co. | Wells Fargo | financial services | investor protection violation | 2004 | MULTI-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 Fargo | financial services | price-fixing or anti-competitive practices | 2011 | MULTI-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 LLC | Wells Fargo | financial services | investor protection violation | 2006 | MULTI-AG | $25,000,000 |
Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2007 | MD-AG | $402,386 |
Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2008 | MULTI-AG | $60,000,000 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2009 | DE-AG | $309,000 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2011 | NJ-AG | $3,200,000 |
Wells Fargo | Wells Fargo | financial services | consumer protection violation | 2010 | MULTI-AG | $23,700,000 |
Wells Fargo | Wells Fargo | financial services | mortgage abuses | 2012 | MULTI-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 | Wells Fargo | financial services | mortgage abuses | 2010 | CA-AG | $33,868,615 |
Wells Fargo | Wells Fargo | financial services | investor protection violation | 2009 | CA-AG | $1,400,000,000 |
Wells Fargo | Wells Fargo | financial services | toxic securities abuses | 2018 | IL-AG | $17,250,000 |
Wells Fargo | Wells Fargo | financial services | mortgage abuses | 2012 | MD-AG | $940,056 |
Wells Fargo | Wells Fargo | financial services | consumer protection violation | 2004 | NY-AG | $2,900,000 |
Wells Fargo | Wells Fargo | financial services | consumer protection violation | 2016 | WV-AG | $8,000,000 |
Wells Fargo & Company | Wells Fargo | financial services | investor protection violation | 2018 | NY-AG | $65,000,000 |
Wells Fargo Bank | Wells Fargo | financial services | consumer protection violation | 2011 | CT-AG | $741,465 |
Wells Fargo Bank | Wells Fargo | financial services | mortgage abuses | 2015 | MA-AG | $675,000 |
Wells Fargo Bank | Wells Fargo | financial services | mortgage abuses | 2015 | MD-AG | $13,800,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | banking violation | 2018 | MULTI-AG | $575,000,000 |
Wells Fargo Bank | Wells Fargo | financial services | privacy violation | 2016 | CA-AG | $8,500,000 |
Wells Fargo Financial Bank | Wells Fargo | financial services | consumer protection violation | 2003 | NY-AG | $33,500 |
Wells Fargo Financial Leasing, Inc. | Wells Fargo | financial services | consumer protection violation | 2005 | MULTI-AG | $10,000,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | investor protection violation | 2019 | CFTC | $14,475,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | economic sanction violation | 2013 | OFAC | $23,937 |
Wells Fargo Bank, N.A | Wells Fargo | financial services | economic sanction violation | 2010 | OFAC | $67,500 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | employment discrimination | 2019 | OFCCP | $283,697 |
Wells Fargo | Wells Fargo | financial services | consumer protection violation | 2016 | CA-LACA | $50,000,000 |
Wells Fargo Home Mortgage, Inc. | Wells Fargo | financial services | consumer protection violation | 2003 | CA-SCCDA | $25,000 |
Wells Fargo Financial Texas, Inc. | Wells Fargo | financial services | employment discrimination | 2003 | EEOC | $110,000 |
Wells Fargo Bank | Wells Fargo | financial services | False Claims Act and related | 2008 | USAO | $4,046,786 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | wage and hour violation | 2019 | WHD | $57,675 |
Wells Fargo Bank | Wells Fargo | financial services | wage and hour violation | 2016 | WHD | $38,230 |
Wells Fargo & Company | Wells Fargo | financial services | wage and hour violation | 2014 | WHD | $100,001 |
Wells Fargo & Company | Wells Fargo | financial services | wage and hour violation | 2020 | private lawsuit-federal | $35,000,000 |
Wells Fargo & Company | Wells Fargo | financial services | fraud | 2020 | DOJ_CIVIL | $3,000,000,000 |
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network | Wells Fargo | financial services | investor protection violation | 2020 | SEC | $35,000,000 |
Wells Fargo & Co. | Wells Fargo | financial services | investor protection violation | 2020 | SEC | (*)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 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2010 | AK-DBS | $129,131 |
Wells Fargo Financial California, Inc. | Wells Fargo | financial services | consumer protection violation | 2005 | CA-DFPI | $1,621,010 |
Wells Fargo Fund Distributor, LLC | Wells Fargo | financial services | consumer protection violation | 2014 | CA-DFPI | $8,000 |
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. | Wells Fargo | financial services | insurance violation | 2019 | CA-INS | $5,345,816 |
Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2007 | CT-SEC | $258,728 |
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2010 | CT-SEC | $75,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2017 | IL-SEC | $270,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2010 | IN-SEC | $8,495 |
Wells Fargo Clearing Services, LLC | Wells Fargo | financial services | investor protection violation | 2019 | MA-SEC | $450,000 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2008 | MD-SEC | $50,000 |
Wells Fargo Advisors LLC | Wells Fargo | financial services | investor protection violation | 2012 | MD-SEC | $50,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2011 | MO-SEC | $765,993 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2017 | MO-SEC | $25,672 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2007 | ND-SEC | $75,000 |
A.G. Edwards & Sons Inc. | Wells Fargo | financial services | investor protection violation | 2003 | NE-DBF | $20,000 |
Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2016 | NH-BSR | $35,000 |
Wells Fargo Bank | Wells Fargo | financial services | consumer protection violation | 2015 | NY-DFS | $4,000,000 |
Ragen Mackenzie Investment Services LLC | Wells Fargo | financial services | investor protection violation | 2004 | OR-FIN | $8,500 |
A.G. Edwards & Sons Inc. | Wells Fargo | financial services | investor protection violation | 2007 | SC-SEC | $575,000 |
A.G. Edwards & Sons Inc. | Wells Fargo | financial services | investor protection violation | 2008 | TX-SEC | $5,000 |
WELLS FARGO ADVISORS | Wells Fargo | financial services | investor protection violation | 2015 | VA-SEC | $205,000 |
Wells Fargo Advisors LLC | Wells Fargo | financial services | investor protection violation | 2016 | VT-FIN | $300,000 |
Wachovia Capital Markets LLC | Wells Fargo | financial services | investor protection violation | 2007 | MULTI-FIN | $24,650,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2008 | MULTI-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, LLC | Wells Fargo | financial services | investor protection violation | 2009 | MULTI-FIN | $1,900,000 |
Wells Fargo & Co. | Wells Fargo | financial services | investor protection violation | 2020 | MD-AG | $20,000,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | employment discrimination | 2020 | OFCCP | $7,800,000 |
Wells Fargo & Co. | Wells Fargo | financial services | discriminatory practices (non-employment) | 2019 | private lawsuit-federal | $10,000,000 |
Wells Fargo | Wells Fargo | financial services | discriminatory practices (non-employment) | 2012 | private lawsuit-federal | $7,500,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | discriminatory practices (non-employment) | 2012 | private lawsuit-federal | $7,500,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | discriminatory practices (non-employment) | 2011 | private lawsuit-state | $3,520,000 |
WFS Financial, Inc. | Wells Fargo | financial services | discriminatory practices (non-employment) | 2004 | private lawsuit-federal | $4,550,000 |
Wells Fargo Bank | Wells Fargo | financial services | wage and hour violation | 2020 | private lawsuit-federal | $10,928,870 |
Wells Fargo & Company | Wells Fargo | financial services | benefit plan administrator violation | 2020 | private lawsuit-federal | $79,000,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | wage and hour violation | 2020 | private lawsuit-federal | $25,696,122 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | privacy violation | 2017 | private lawsuit-federal | $30,446,022 |
Wells Fargo & Co. | Wells Fargo | financial services | employment discrimination | 2021 | private lawsuit-federal | $18,700,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2020 | FINRA | $2,075,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2017 | FINRA | $3,400,000 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | Wells Fargo | financial services | investor protection violation | 2016 | FINRA | $4,000,000 |
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC | Wells Fargo | financial services | investor protection violation | 2016 | FINRA | $1,500,000 |
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2015 | FINRA | $15,000,000 |
Wells Fargo Advisors and Wells Fargo Advisors Financial Network | Wells Fargo | financial services | anti-money-laundering deficiencies | 2014 | FINRA | $1,500,000 |
Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2014 | FINRA | $4,000,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2013 | FINRA | $3,250,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2012 | FINRA | $1,931,488 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2011 | FINRA | $2,000,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2011 | FINRA | $1,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2009 | FINRA | $275,000 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2009 | FINRA | $1,400,000 |
Wachovia Securities, LLC and First Clearing, LLC | Wells Fargo | financial services | investor protection violation | 2009 | FINRA | $1,100,000 |
Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2009 | FINRA | $4,500,000 |
Prudential Securities | Wells Fargo | financial services | investor protection violation | 2008 | FINRA | $1,050,000 |
Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2007 | FINRA | $300,000 |
Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2007 | FINRA | $250,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2007 | FINRA | $2,000,000 |
Wells Fargo Investments | Wells Fargo | financial services | investor protection violation | 2005 | FINRA | $3,000,000 |