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 |
---|---|---|---|---|---|---|
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 |
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 |
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 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 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 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2005 | FINRA | $2,970,000 |
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 |
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 |
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 |
Wells Fargo | Wells Fargo | financial services | investor protection violation | 2023 | CFTC | $75,000,000 |
Wells Fargo Securities, LLC et al. | Wells Fargo | financial services | investor protection violation | 2023 | SEC | $125,000,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | financial services | investor protection violation | 2023 | SEC | $35,000,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | financial services | investor protection violation | 2023 | ME-SEC | $5,000 |
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. | Wells Fargo | financial services | insurance violation | 2019 | CA-INS | $5,345,816 |
Wells Fargo & Company | Wells Fargo | financial services | fraud | 2020 | DOJ_CIVIL | $3,000,000,000 |
Wells Fargo Bank, N. A. | Wells Fargo | financial services | Family and Medical Leave Act | 2016 | WHD | $11,874 |
Wells Fargo Bank | Wells Fargo | financial services | Family and Medical Leave Act | 2006 | WHD | $5,152 |
Wells Fargo Bank, National Association | Wells Fargo | financial services | False Claims Act and related | 2016 | DOJ_CIVIL | $1,200,000,000 |
Wells Fargo Bank | Wells Fargo | financial services | False Claims Act and related | 2008 | USAO | $4,046,786 |
Wells Fargo Bank | Wells Fargo | financial services | employment screening violation | 2016 | private lawsuit-federal | $12,000,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | employment discrimination | 2014 | EEOC | $290,000 |
Wells Fargo & Company | Wells Fargo | financial services | employment discrimination | 2014 | EEOC | $295,000 |
Wells Fargo | Wells Fargo | financial services | employment discrimination | 2015 | OFCCP | $14,000 |
Wells Fargo Advisors | Wells Fargo | financial services | employment discrimination | 2011 | private lawsuit-federal | $32,000,000 |
Wells Fargo Advisors | Wells Fargo | financial services | employment discrimination | 2017 | private lawsuit-federal | $35,500,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | employment discrimination | 2019 | OFCCP | $283,697 |
Wells Fargo Financial Texas, Inc. | Wells Fargo | financial services | employment discrimination | 2003 | EEOC | $110,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | employment discrimination | 2020 | OFCCP | $7,800,000 |
Wells Fargo & Co. | Wells Fargo | financial services | employment discrimination | 2021 | private lawsuit-federal | $18,700,000 |
A.G. Edwards and Sons Inc. | Wells Fargo | financial services | economic sanction violation | 2008 | OFAC | $122,358 |
Wachovia Bank | Wells Fargo | financial services | economic sanction violation | 2007 | OFAC | $11,000 |
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 |
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 |
Wells Fargo Bank | Wells Fargo | financial services | economic sanction violation | 2003 | OFAC | $5,500 |
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 & Co. | Wells Fargo | financial services | economic sanction violation | 2023 | OFAC | $30,000,000 |
Wells Fargo Home Mortgage | Wells Fargo | financial services | discriminatory practices (non-employment) | 2014 | HUD | $5,000,000 |
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 | discriminatory practices (non-employment) | 2021 | HUD | $125,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | data submission deficiencies | 2003 | CFTC | $45,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | data submission deficiencies | 2002 | CFTC | $65,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | data submission deficiencies | 2016 | CFTC | $400,000 |
Wells Fargo | Wells Fargo | financial services | consumer protection violation | 2015 | CFPB | $34,800,000 |
Wells Fargo Bank | Wells Fargo | financial services | consumer protection violation | 2016 | CFPB | $4,010,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | consumer protection violation | 2016 | DOJ_RIGHTS | $4,100,000 |
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, National Association | Wells Fargo | financial services | consumer protection violation | 2016 | OCC | $20,000,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | consumer protection violation | 2018 | CFPB | $500,000,000 |
Wells Fargo | Wells Fargo | financial services | consumer protection violation | 2010 | MULTI-AG | $23,700,000 |
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 |