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 Investments, LLC | Wells Fargo | financial services | investor protection violation | 2009 | FINRA | $275,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2017 | IL-SEC | $270,000 |
Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2007 | CT-SEC | $258,728 |
Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2007 | FINRA | $250,000 |
Wells Fargo Bank, National Association | Wells Fargo | financial services | wage and hour violation | 2004 | WHD | $228,209 |
WELLS FARGO ADVISORS | Wells Fargo | financial services | investor protection violation | 2015 | VA-SEC | $205,000 |
Norwest Investment Services, Inc. | Wells Fargo | financial services | investor protection violation | 2002 | SEC | $153,245 |
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 | 2010 | AK-DBS | $129,131 |
WELLS FARGO FINANCIAL BANK | Wells Fargo | financial services | banking violation | 2009 | FDIC | $125,000 |
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 | discriminatory practices (non-employment) | 2021 | HUD | $125,000 |
A.G. Edwards and Sons Inc. | Wells Fargo | financial services | economic sanction violation | 2008 | OFAC | $122,358 |
Wells Fargo Bank, National Association | Wells Fargo | financial services | banking violation | 2005 | OCC | $115,000 |
Wells Fargo Financial Texas, Inc. | Wells Fargo | financial services | employment discrimination | 2003 | EEOC | $110,000 |
Wells Fargo & Company | Wells Fargo | financial services | wage and hour violation | 2014 | WHD | $100,001 |
Wells Fargo Bank | Wells Fargo | financial services | wage and hour violation | 2011 | private lawsuit-federal | $100,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | FINRA | $100,000 |
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2010 | CT-SEC | $75,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2007 | ND-SEC | $75,000 |
Wells Fargo Bank, N.A | Wells Fargo | financial services | economic sanction violation | 2010 | OFAC | $67,500 |
Prudential Securities, Inc. | Wells Fargo | financial services | data submission deficiencies | 2002 | CFTC | $65,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | wage and hour violation | 2019 | WHD | $57,675 |
Wells Fargo Bank, National Association | Wells Fargo | financial services | banking violation | 2009 | OCC | $51,205 |
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 | data submission deficiencies | 2003 | CFTC | $45,000 |
Wells Fargo Bank | Wells Fargo | financial services | economic sanction violation | 2005 | OFAC | $42,833 |
Wachovia Securities, LLC. | Wells Fargo | financial services | investor protection violation | 2004 | FINRA | $39,486 |
Wells Fargo Bank | Wells Fargo | financial services | wage and hour violation | 2016 | WHD | $38,230 |
Wells Fargo Bank, National Association | Wells Fargo | financial services | wage and hour violation | 2013 | CA-LCO | $37,036 |
Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2016 | NH-BSR | $35,000 |
Wells Fargo Financial Bank | Wells Fargo | financial services | consumer protection violation | 2003 | NY-AG | $33,500 |
First Union Brokerage Services, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | FINRA | $32,500 |
Wells Fargo Bank NA | Wells Fargo | financial services | wage and hour violation | 2011 | WHD | $31,770 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2017 | MO-SEC | $25,672 |
Wells Fargo Home Mortgage, Inc. | Wells Fargo | financial services | consumer protection violation | 2003 | CA-SCCDA | $25,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | economic sanction violation | 2013 | OFAC | $23,937 |
A.G. Edwards & Sons Inc. | Wells Fargo | financial services | investor protection violation | 2003 | NE-DBF | $20,000 |
Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2001 | FINRA | $20,000 |
First Union Bank | Wells Fargo | financial services | economic sanction violation | 2004 | OFAC | $18,740 |
WELLS FARGO BANK NA | Wells Fargo | financial services | wage and hour violation | 2022 | IL-DOL | $18,049 |
WELLS FARGO BANK NA | Wells Fargo | financial services | wage and hour violation | 2022 | IL-DOL | $18,049 |
Wells Fargo | Wells Fargo | financial services | employment discrimination | 2015 | OFCCP | $14,000 |
Wells Fargo Bank, National Association | Wells Fargo | financial services | wage and hour violation | 2022 | CA-LCO | $12,399 |
WELLS FARGO BANK #1692 | Wells Fargo | financial services | workplace safety or health violation | 2013 | OSHA | $12,000 |
Wells Fargo Bank, N. A. | Wells Fargo | financial services | Family and Medical Leave Act | 2016 | WHD | $11,874 |
Wachovia Bank | Wells Fargo | financial services | economic sanction violation | 2007 | OFAC | $11,000 |
Wachovia Bank | Wells Fargo | financial services | economic sanction violation | 2004 | OFAC | $11,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | FINRA | $10,000 |
Wells Fargo | Wells Fargo | financial services | Americans with Disabilities Act | 2023 | USAO | $10,000 |
Wells Fargo Bank, National Association | Wells Fargo | financial services | wage and hour violation | 2022 | CA-LCO | $9,795 |
Wells Fargo Home Mortgage Inc | Wells Fargo | financial services | wage and hour violation | 2010 | MI-LEO | $9,222 |
First Union Bank | Wells Fargo | financial services | labor relations violation | 2000 | NLRB | $9,116 |
WELLS FARGO BANK, NA | Wells Fargo | financial services | workplace safety or health violation | 2017 | OSHA | $9,000 |
Ragen Mackenzie Investment Services LLC | Wells Fargo | financial services | investor protection violation | 2004 | OR-FIN | $8,500 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2010 | IN-SEC | $8,495 |
Wells Fargo Fund Distributor, LLC | Wells Fargo | financial services | consumer protection violation | 2014 | CA-DFPI | $8,000 |
Wells Fargo Bank, National Association | Wells Fargo | financial services | wage and hour violation | 2005 | CA-LCO | $6,572 |
Wachovia Bank | Wells Fargo | financial services | economic sanction violation | 2005 | OFAC | $5,500 |
Wells Fargo Bank | Wells Fargo | financial services | economic sanction violation | 2003 | OFAC | $5,500 |
Wells Fargo Guard Services | labor relations violation | 2000 | NLRB | $5,360 | ||
Wells Fargo Bank | Wells Fargo | financial services | Family and Medical Leave Act | 2006 | WHD | $5,152 |
A.G. Edwards & Sons Inc. | Wells Fargo | financial services | investor protection violation | 2008 | TX-SEC | $5,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | financial services | investor protection violation | 2023 | ME-SEC | $5,000 |
WELLS FARGO SECURITIES, LLC. | Wells Fargo | financial services | workplace safety or health violation | 2004 | OSHA | $5,000 |