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267 Violation Tracker results found

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense Type sort iconYearAgencyPenalty Amount
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
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2010AK-DBS$129,131
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 Advisors, LLCWells Fargofinancial servicesinvestor protection violation2017IL-SEC$270,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2010IN-SEC$8,495
Wells Fargo Clearing Services, LLCWells Fargofinancial servicesinvestor protection violation2019MA-SEC$450,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2008MD-SEC$50,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2012MD-SEC$50,000
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
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007ND-SEC$75,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2003NE-DBF$20,000
Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2016NH-BSR$35,000
Ragen Mackenzie Investment Services LLCWells Fargofinancial servicesinvestor protection violation2004OR-FIN$8,500
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2007SC-SEC$575,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2008TX-SEC$5,000
WELLS FARGO ADVISORSWells Fargofinancial servicesinvestor protection violation2015VA-SEC$205,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2016VT-FIN$300,000
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
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020MD-AG$20,000,000
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 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
Wells FargoWells Fargofinancial servicesinvestor protection violation2023CFTC$75,000,000
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
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023ME-SEC$5,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc.Wells Fargofinancial servicesinsurance violation2019CA-INS$5,345,816
Wells Fargo & CompanyWells Fargofinancial servicesfraud2020DOJ_CIVIL$3,000,000,000
Wells Fargo Bank, N. A.Wells Fargofinancial servicesFamily and Medical Leave Act2016WHD$11,874
Wells Fargo BankWells Fargofinancial servicesFamily and Medical Leave Act2006WHD$5,152
Wells Fargo Bank, National AssociationWells Fargofinancial servicesFalse Claims Act and related2016DOJ_CIVIL$1,200,000,000
Wells Fargo BankWells Fargofinancial servicesFalse Claims Act and related2008USAO$4,046,786
Wells Fargo BankWells Fargofinancial servicesemployment screening violation2016private lawsuit-federal$12,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesemployment discrimination2014EEOC$290,000
Wells Fargo & CompanyWells Fargofinancial servicesemployment discrimination2014EEOC$295,000
Wells FargoWells Fargofinancial servicesemployment discrimination2015OFCCP$14,000
Wells Fargo AdvisorsWells Fargofinancial servicesemployment discrimination2011private lawsuit-federal$32,000,000
Wells Fargo AdvisorsWells Fargofinancial servicesemployment discrimination2017private lawsuit-federal$35,500,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesemployment discrimination2019OFCCP$283,697
Wells Fargo Financial Texas, Inc.Wells Fargofinancial servicesemployment discrimination2003EEOC$110,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesemployment discrimination2020OFCCP$7,800,000
Wells Fargo & Co.Wells Fargofinancial servicesemployment discrimination2021private lawsuit-federal$18,700,000
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 Home MortgageWells Fargofinancial servicesdiscriminatory practices (non-employment)2014HUD$5,000,000
Wells Fargo & Co.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2019private lawsuit-federal$10,000,000
Wells FargoWells Fargofinancial servicesdiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2011private lawsuit-state$3,520,000
WFS Financial, Inc.Wells Fargofinancial servicesdiscriminatory practices (non-employment)2004private lawsuit-federal$4,550,000
Wells Fargo BankWells Fargofinancial servicesdiscriminatory practices (non-employment)2021HUD$125,000
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 FargoWells Fargofinancial servicesconsumer protection violation2015CFPB$34,800,000
Wells Fargo BankWells Fargofinancial servicesconsumer protection violation2016CFPB$4,010,000
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 servicesconsumer protection violation2016OCC$20,000,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesconsumer protection violation2018CFPB$500,000,000
Wells FargoWells Fargofinancial servicesconsumer protection violation2010MULTI-AG$23,700,000
Wells FargoWells Fargofinancial servicesconsumer protection violation2004NY-AG$2,900,000
Wells FargoWells Fargofinancial servicesconsumer protection violation2016WV-AG$8,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.