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 Corporation | Wells Fargo | financial services | benefit plan administrator violation | 2011 | private lawsuit-federal | $12,350,000 |
A.G. Edwards | Wells Fargo | financial services | wage and hour violation | 2009 | private lawsuit-federal | $12,000,000 |
Wells Fargo Bank | Wells Fargo | financial services | employment screening violation | 2016 | private lawsuit-federal | $12,000,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | consumer protection violation | 2022 | private lawsuit-federal | $12,000,000 |
Wells Fargo Securities LLC | Wells Fargo | financial services | toxic securities abuses | 2011 | SEC | $11,000,000 |
Wells Fargo Bank | Wells Fargo | financial services | wage and hour violation | 2020 | private lawsuit-federal | $10,928,870 |
Wells Fargo Financial Leasing, Inc. | Wells Fargo | financial services | consumer protection violation | 2005 | MULTI-AG | $10,000,000 |
Wells Fargo & Co. | Wells Fargo | financial services | discriminatory practices (non-employment) | 2019 | private lawsuit-federal | $10,000,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | wage and hour violation | 2018 | private lawsuit-federal | $9,500,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $8,750,000 |
Wells Fargo Bank | Wells Fargo | financial services | privacy violation | 2016 | CA-AG | $8,500,000 |
Wells Fargo | Wells Fargo | financial services | consumer protection violation | 2016 | WV-AG | $8,000,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | employment discrimination | 2020 | OFCCP | $7,800,000 |
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 & Company | Wells Fargo | financial services | benefit plan administrator violation | 2015 | private lawsuit-federal | $7,420,000 |
Wells Fargo Advisors | Wells Fargo | financial services | anti-money-laundering deficiencies | 2022 | SEC | $7,000,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | consumer protection violation | 2021 | private lawsuit-federal | $6,945,095 |
Wells Fargo | Wells Fargo | financial services | wage and hour violation | 2011 | private lawsuit-federal | $6,900,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | consumer protection violation | 2012 | private lawsuit-federal | $6,778,000 |
Wells Fargo | Wells Fargo | financial services | wage and hour violation | 2011 | private lawsuit-federal | $6,720,000 |
Wells Fargo | Wells Fargo | financial services | wage and hour violation | 2011 | private lawsuit-federal | $6,660,000 |
Wells Fargo | Wells Fargo | financial services | toxic securities abuses | 2012 | SEC | $6,500,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | FINRA | $5,890,000 |
Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2000 | SEC | $5,880,000 |
Wachovia Bank | Wells Fargo | financial services | wage and hour violation | 2004 | WHD | $5,798,744 |
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services | Wells Fargo | financial services | consumer protection violation | 2017 | DOJ_RIGHTS | $5,400,000 |
Wells Fargo Bank N.A | Wells Fargo | financial services | workplace whistleblower retaliation | 2017 | OSHA | $5,400,000 |
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. | Wells Fargo | financial services | insurance violation | 2019 | CA-INS | $5,345,816 |
Wells Fargo Advisors LLC | Wells Fargo | financial services | investor protection violation | 2018 | SEC | $5,108,441 |
Wells Fargo Advisors LLC | Wells Fargo | financial services | investor protection violation | 2014 | SEC | $5,000,000 |
Wells Fargo Home Mortgage | Wells Fargo | financial services | discriminatory practices (non-employment) | 2014 | HUD | $5,000,000 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2004 | SEC | $4,844,465 |
WFS Financial, Inc. | Wells Fargo | financial services | discriminatory practices (non-employment) | 2004 | private lawsuit-federal | $4,550,000 |
Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2009 | FINRA | $4,500,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | consumer protection violation | 2016 | DOJ_RIGHTS | $4,100,000 |
Wells Fargo Bank | Wells Fargo | financial services | False Claims Act and related | 2008 | USAO | $4,046,786 |
Wells Fargo Bank | Wells Fargo | financial services | consumer protection violation | 2016 | CFPB | $4,010,000 |
Wells Fargo Bank, National Association | Wells Fargo | financial services | banking violation | 2015 | OCC | $4,000,000 |
Wells Fargo Advisors | Wells Fargo | financial services | wage and hour violation | 2013 | private lawsuit-federal | $4,000,000 |
Wells Fargo Bank | Wells Fargo | financial services | consumer protection violation | 2015 | NY-DFS | $4,000,000 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | Wells Fargo | financial services | investor protection violation | 2016 | FINRA | $4,000,000 |
Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2014 | FINRA | $4,000,000 |
Wells Fargo | Wells Fargo | financial services | wage and hour violation | 2017 | private lawsuit-federal | $3,900,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2007 | SEC | $3,860,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | discriminatory practices (non-employment) | 2011 | private lawsuit-state | $3,520,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | anti-money-laundering deficiencies | 2017 | SEC | $3,500,000 |
Wells Fargo Advisors | Wells Fargo | financial services | wage and hour violation | 2017 | private lawsuit-federal | $3,500,000 |
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 Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2013 | FINRA | $3,250,000 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2011 | NJ-AG | $3,200,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | consumer protection violation | 2012 | private lawsuit-federal | $3,190,000 |
Wells Fargo | Wells Fargo | financial services | wage and hour violation | 2014 | private lawsuit-state | $3,000,000 |
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 | Wells Fargo | financial services | consumer protection violation | 2004 | NY-AG | $2,900,000 |
Strong Capital Management, Inc. | Wells Fargo | financial services | investor protection violation | 2006 | SEC | $2,185,927 |
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 Insurance Services | Wells Fargo | financial services | wage and hour violation | 2015 | private lawsuit-federal | $2,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2011 | FINRA | $2,000,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2007 | FINRA | $2,000,000 |
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 | 2009 | MULTI-FIN | $1,900,000 |
Wells Fargo Bank | Wells Fargo | financial services | wage and hour violation | 2015 | private lawsuit-federal | $1,850,000 |
Wells Fargo Financial California, Inc. | Wells Fargo | financial services | consumer protection violation | 2005 | CA-DFPI | $1,621,010 |
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 and Wells Fargo Advisors Financial Network | Wells Fargo | financial services | anti-money-laundering deficiencies | 2014 | FINRA | $1,500,000 |
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 |
Prudential Securities | Wells Fargo | financial services | investor protection violation | 2008 | FINRA | $1,050,000 |
Wachovia Securities | Wells Fargo | financial services | benefit plan administrator violation | 2009 | private lawsuit-federal | $1,005,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2011 | FINRA | $1,000,000 |
Wells Fargo | Wells Fargo | financial services | mortgage abuses | 2012 | MD-AG | $940,056 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | consumer protection violation | 2017 | private lawsuit-federal | $880,000 |
Wells Fargo Securities | Wells Fargo | financial services | investor protection violation | 2019 | SEC | $812,500 |
Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2001 | SEC | $800,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2011 | MO-SEC | $765,993 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | consumer protection violation | 2017 | private lawsuit-federal | $750,000 |
Wells Fargo Bank | Wells Fargo | financial services | consumer protection violation | 2011 | CT-AG | $741,465 |
Wells Fargo | Wells Fargo | financial services | wage and hour violation | 2017 | private lawsuit-federal | $685,000 |
Wells Fargo Bank | Wells Fargo | financial services | mortgage abuses | 2015 | MA-AG | $675,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2004 | FINRA | $650,000 |
Wells Fargo | Wells Fargo | financial services | workplace whistleblower retaliation | 2017 | OSHA | $577,500 |
A.G. Edwards & Sons Inc. | Wells Fargo | financial services | investor protection violation | 2007 | SC-SEC | $575,000 |
Wachovia Financial Services | Wells Fargo | financial services | wage and hour violation | 2010 | private lawsuit-federal | $450,000 |
Wells Fargo Clearing Services, LLC | Wells Fargo | financial services | investor protection violation | 2019 | MA-SEC | $450,000 |
Wells Fargo Bank N.A. Municipal Products Group | Wells Fargo | financial services | investor protection violation | 2016 | SEC | $440,000 |
First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | SEC | $408,931 |
Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2007 | MD-AG | $402,386 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | data submission deficiencies | 2016 | CFTC | $400,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2008 | NJ-AG | $387,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2003 | SEC | $382,000 |
First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | FINRA | $350,000 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2009 | DE-AG | $309,000 |
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 | FINRA | $300,000 |
Wells Fargo & Company | Wells Fargo | financial services | employment discrimination | 2014 | EEOC | $295,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | employment discrimination | 2014 | EEOC | $290,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | employment discrimination | 2019 | OFCCP | $283,697 |
Wells Fargo Bank | Wells Fargo | financial services | wage and hour violation | 2012 | private lawsuit-federal | $280,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2009 | FINRA | $275,000 |