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 |
|---|---|---|---|---|---|---|
| Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2000 | SEC | $5,880,000 |
| Wells Fargo Guard Services | labor relations violation | 2000 | NLRB | $5,360 | ||
| First Union Bank | Wells Fargo | financial services | labor relations violation | 2000 | NLRB | $9,116 |
| Wachovia National Bank, N.A. | Wells Fargo | financial services | benefit plan administrator violation | 2000 | EBSA | $30,000,000 |
| First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | SEC | $408,931 |
| First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | FINRA | $350,000 |
| A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | FINRA | $5,890,000 |
| Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | FINRA | $100,000 |
| Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2001 | SEC | $800,000 |
| Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2001 | FINRA | $20,000 |
| Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | FINRA | $10,000 |
| First Union Brokerage Services, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | FINRA | $32,500 |
| Prudential Securities, Inc. | Wells Fargo | financial services | data submission deficiencies | 2002 | CFTC | $65,000 |
| Norwest Investment Services, Inc. | Wells Fargo | financial services | investor protection violation | 2002 | SEC | $153,245 |
| A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | data submission deficiencies | 2003 | CFTC | $45,000 |
| Wells Fargo Bank | Wells Fargo | financial services | economic sanction violation | 2003 | OFAC | $5,500 |
| Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2003 | SEC | $382,000 |
| Wells Fargo Financial Bank | Wells Fargo | financial services | consumer protection violation | 2003 | NY-AG | $33,500 |
| 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 |
| A.G. Edwards & Sons Inc. | Wells Fargo | financial services | investor protection violation | 2003 | NE-DBF | $20,000 |
| First Union Bank | Wells Fargo | financial services | economic sanction violation | 2004 | OFAC | $18,740 |
| Wachovia Bank | Wells Fargo | financial services | economic sanction violation | 2004 | OFAC | $11,000 |
| Wachovia Corporation | Wells Fargo | financial services | investor protection violation | 2004 | SEC | $37,000,000 |
| Strong Capital Management, Inc. | Wells Fargo | financial services | investor protection violation | 2004 | SEC | $80,000,000 |
| Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2004 | SEC | $4,844,465 |
| Wells Fargo Bank, National Association | Wells Fargo | financial services | wage and hour violation | 2004 | WHD | $228,209 |
| Wachovia Bank | Wells Fargo | financial services | wage and hour violation | 2004 | WHD | $5,798,744 |
| 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 |
| Wells Fargo | Wells Fargo | financial services | consumer protection violation | 2004 | NY-AG | $2,900,000 |
| Ragen Mackenzie Investment Services LLC | Wells Fargo | financial services | investor protection violation | 2004 | OR-FIN | $8,500 |
| WFS Financial, Inc. | Wells Fargo | financial services | discriminatory practices (non-employment) | 2004 | private lawsuit-federal | $4,550,000 |
| Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2004 | FINRA | $650,000 |
| Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2004 | FINRA | $150,000 |
| Wachovia Securities, LLC. | Wells Fargo | financial services | investor protection violation | 2004 | FINRA | $39,486 |
| WELLS FARGO SECURITIES, LLC. | Wells Fargo | financial services | workplace safety or health violation | 2004 | OSHA | $5,000 |
| Wachovia Bank | Wells Fargo | financial services | economic sanction violation | 2005 | OFAC | $5,500 |
| Wells Fargo Bank | Wells Fargo | financial services | economic sanction violation | 2005 | OFAC | $42,833 |
| Wells Fargo Bank, National Association | Wells Fargo | financial services | banking violation | 2005 | OCC | $115,000 |
| Wells Fargo Financial Leasing, Inc. | Wells Fargo | financial services | consumer protection violation | 2005 | MULTI-AG | $10,000,000 |
| Wells Fargo Financial California, Inc. | Wells Fargo | financial services | consumer protection violation | 2005 | CA-DFPI | $1,621,010 |
| Wells Fargo Investments | Wells Fargo | financial services | investor protection violation | 2005 | FINRA | $3,000,000 |
| Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2005 | FINRA | $2,970,000 |
| Wells Fargo Bank, National Association | Wells Fargo | financial services | wage and hour violation | 2005 | CA-LCO | $6,572 |
| A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2006 | SEC | $125,000 |
| Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2006 | SEC | $125,000 |
| Wells Fargo Bank | Wells Fargo | financial services | Family and Medical Leave Act | 2006 | WHD | $5,152 |
| Strong Capital Management, Inc. | Wells Fargo | financial services | investor protection violation | 2006 | SEC | $2,185,927 |
| Wachovia Capital Markets LLC | Wells Fargo | financial services | investor protection violation | 2006 | MULTI-AG | $25,000,000 |
| Wachovia Bank | Wells Fargo | financial services | economic sanction violation | 2007 | OFAC | $11,000 |
| Evergreen Investment Management Company | Wells Fargo | financial services | investor protection violation | 2007 | SEC | $32,500,000 |
| A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2007 | SEC | $3,860,000 |
| A.G. Edwards | Wells Fargo | financial services | wage and hour violation | 2007 | private lawsuit-federal | $20,000,000 |
| Wells Fargo | Wells Fargo | financial services | wage and hour violation | 2007 | private lawsuit-federal | $12,800,000 |
| Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2007 | MD-AG | $402,386 |
| Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2007 | CT-SEC | $258,728 |
| 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 | 2007 | SC-SEC | $575,000 |
| Wachovia Capital Markets LLC | Wells Fargo | financial services | investor protection violation | 2007 | MULTI-FIN | $24,650,000 |
| 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 |
| A.G. Edwards and Sons Inc. | Wells Fargo | financial services | economic sanction violation | 2008 | OFAC | $122,358 |
| Wachovia Bank, National Association | Wells Fargo | financial services | banking violation | 2008 | OCC | $168,900,000 |
| A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2008 | NJ-AG | $387,000 |
| Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2008 | MULTI-AG | $60,000,000 |
| Wells Fargo Bank | Wells Fargo | financial services | False Claims Act and related | 2008 | USAO | $4,046,786 |
| Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2008 | MD-SEC | $50,000 |
| A.G. Edwards & Sons Inc. | Wells Fargo | financial services | investor protection violation | 2008 | TX-SEC | $5,000 |
| 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 |
| Prudential Securities | Wells Fargo | financial services | investor protection violation | 2008 | FINRA | $1,050,000 |
| WELLS FARGO FINANCIAL BANK | Wells Fargo | financial services | banking violation | 2009 | FDIC | $125,000 |
| Wells Fargo Bank, National Association | Wells Fargo | financial services | banking violation | 2009 | OCC | $51,205 |
| Evergreen Investment Management Company LLC | Wells Fargo | financial services | investor protection violation | 2009 | SEC | $40,000,000 |
| Wachovia Securities | Wells Fargo | financial services | wage and hour violation | 2009 | private lawsuit-federal | $39,000,000 |
| A.G. Edwards | Wells Fargo | financial services | wage and hour violation | 2009 | private lawsuit-federal | $12,000,000 |
| Wachovia Securities | Wells Fargo | financial services | benefit plan administrator violation | 2009 | private lawsuit-federal | $1,005,000 |
| Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2009 | DE-AG | $309,000 |
| Wells Fargo | Wells Fargo | financial services | investor protection violation | 2009 | CA-AG | $1,400,000,000 |
| Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2009 | MULTI-FIN | $1,900,000 |
| 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 |
| Wachovia Bank N.A. | Wells Fargo | financial services | banking violation | 2010 | OCC | $50,000,000 |
| Wachovia Bank | Wells Fargo | financial services | anti-money-laundering deficiencies | 2010 | FINCEN | $110,000,000 |
| Wachovia Bank N.A. | Wells Fargo | financial services | anti-money-laundering deficiencies | 2010 | USAO | $50,000,000 |
| Wachovia Financial Services | Wells Fargo | financial services | wage and hour violation | 2010 | private lawsuit-federal | $450,000 |
| Wells Fargo | Wells Fargo | financial services | wage and hour violation | 2010 | private lawsuit-federal | $20,000,000 |
| Wells Fargo | Wells Fargo | financial services | consumer protection violation | 2010 | MULTI-AG | $23,700,000 |
| Wells Fargo | Wells Fargo | financial services | mortgage abuses | 2010 | CA-AG | $33,868,615 |
| Wells Fargo Bank, N.A | Wells Fargo | financial services | economic sanction violation | 2010 | OFAC | $67,500 |
| Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2010 | AK-DBS | $129,131 |
| 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 | 2010 | IN-SEC | $8,495 |
| Wells Fargo Home Mortgage Inc | Wells Fargo | financial services | wage and hour violation | 2010 | MI-LEO | $9,222 |
| Wachovia Bank N.A. | Wells Fargo | financial services | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $148,000,000 |
| Wells Fargo Bank, National Association | Wells Fargo | financial services | banking violation | 2011 | OCC | $34,500,000 |
| Wells Fargo & Company | Wells Fargo | financial services | banking violation | 2011 | FED | $85,000,000 |
| Wells Fargo Securities LLC | Wells Fargo | financial services | toxic securities abuses | 2011 | SEC | $11,000,000 |
| Wells Fargo & Company | Wells Fargo | financial services | Americans with Disabilities Act | 2011 | DOJ_RIGHTS | $16,055,000 |
