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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$83,354,221,356271
JPMorgan Chase$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
Morgan Stanley$10,167,765,234190

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Wachovia SecuritiesWells Fargowage and hour violation2009private lawsuit-federal$39,000,000
Wachovia SecuritiesWells Fargobenefit plan administrator violation2009private lawsuit-federal$1,005,000
Wachovia SecuritiesWells Fargoinvestor protection violation2008MULTI-AG$60,000,000
Wachovia SecuritiesWells Fargoinvestor protection violation2009FINRA$4,500,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007ND-SEC$75,000
Wachovia Securities LLCWells Fargoinvestor 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
Wachovia Securities LLCWells Fargoinvestor protection violation2007FINRA$2,000,000
Wachovia Securities LLCWells Fargoinvestor protection violation2004FINRA$650,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2004SEC$4,844,465
Wachovia Securities, LLCWells Fargoinvestor protection violation2009DE-AG$309,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2011NJ-AG$3,200,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2010AK-DBS$129,131
Wachovia Securities, LLCWells Fargoinvestor protection violation2008MD-SEC$50,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009FINRA$1,400,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargoinvestor protection violation2009FINRA$1,100,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010CT-SEC$75,000
Wachovia Securities, LLC.Wells Fargoinvestor protection violation2004FINRA$39,486
Waddell & Reed Inc.Macquarieinvestor protection violation2008OK-SEC$10,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2006SEC$50,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2003FL-OFR$8,800
Waddell & Reed, Inc.Macquarieinvestor protection violation2006MO-SEC$172,161
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MT-SEC$25,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2016NH-BSR$900,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MULTI-FIN$18,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Waddell & Reed, LLCMacquarieinvestor protection violation2022SEC$200,000
Walter Investment Management Corp.Ditech Holding CorporationFalse Claims Act and related2015DOJ_CIVIL$29,630,000
Warburg Dillon Read LLCUBSinvestor protection violation2000SEC$6,680,000
Washington FederalWashington Federal Inc.consumer protection violation2013CFPB$34,000
Washington Federal Bank, N.A.Washington Federal Inc.consumer protection violation2020CFPB$200,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$2,500,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$40,500
WASHINGTON MUTUALJPMorgan Chaseworkplace safety or health violation2007OSHA$5,000
Washington Mutual BankJPMorgan Chasewage and hour violation2011private lawsuit-federal$463,000
Washington Mutual BankJPMorgan Chasewage and hour violation2009private lawsuit-federal$38,000,000
Washington Mutual Bank, F. A.JPMorgan Chaseenvironmental violation2005CA-SCAQMD$23,264
Washington Mutual Inc.JPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$49,000,000
Washington Mutual Mortgage Securities Corp.JPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Pension PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$20,000,000
Washington Mutual, Inc.JPMorgan Chasewage and hour violation2005WHD$404,982
Washington National Insurance Co.CNO Financialinsurance violation2017MN-FIN$140,000
Washington National Insurance Co.CNO Financialinsurance violation2012MO-INS$150,000
Washington National Insurance CompanyCNO Financialinsurance violation2013SD-INS$125,000
Washington National Insurance CompanyCNO Financialinsurance violation2018WA-INS$7,500
Watson Wyatt & Co.Willis Towers Watsonlabor relations violation2005NLRB$91,000
Watson Wyatt & CompanyWillis Towers WatsonFalse Claims Act and related2005USAO$689,828
Wausau Business Insurance Co.Liberty Mutual Insuranceinsurance violation2008KS-INS$15,622
WAUSAU BUSINESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$14,625
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$5,000
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$16,000
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$12,000
Wausau Underwriters Insurance Co.Liberty Mutual Insuranceinsurance violation2002FL-OFR$53,000
WAUSAU UNDERWRITERS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$26,325
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$5,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2013TX-INS$8,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2015TX-INS$8,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2017TX-INS$40,000
Wedbush Morgan SecuritiesWedbush Securitiesenvironmental violation2006CA-SCAQMD$5,000
Wedbush SecuritiesWedbush Securitiesinvestor protection violation2014SEC$2,440,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2014SEC$67,200
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018SEC$1,304,197
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$250,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$8,100,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$1,852,540
Wedbush Securities Inc.Wedbush Securitiesinsurance violation2011CO-INS$14,300
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016TN-SEC$30,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018FINRA$1,500,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016FINRA$675,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2021SEC$1,207,000
Wells FargoWells Fargoconsumer protection violation2015CFPB$34,800,000
Wells FargoWells Fargobanking violation2013OCC$1,991,141,181
Wells FargoWells Fargotoxic securities abuses2012SEC$6,500,000
Wells FargoWells Fargotoxic securities abuses2013FHFA$591,000,000
Wells FargoWells Fargoemployment discrimination2015OFCCP$14,000
Wells FargoWells Fargowage and hour violation2018private lawsuit-state$27,500,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-state$13,000,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-federal$685,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-federal$3,900,000
Wells FargoWells Fargowage and hour violation2014private lawsuit-federal$15,000,000
Wells FargoWells Fargowage and hour violation2014private lawsuit-state$3,000,000
Wells FargoWells Fargowage and hour violation2011private lawsuit-federal$6,660,000
Wells FargoWells Fargowage and hour violation2011private lawsuit-federal$6,720,000
Wells FargoWells Fargowage and hour violation2011private lawsuit-federal$6,900,000
Wells FargoWells Fargowage and hour violation2010private lawsuit-federal$20,000,000
Wells FargoWells Fargowage and hour violation2007private lawsuit-federal$12,800,000
Wells FargoWells Fargoconsumer protection violation2010MULTI-AG$23,700,000
Wells FargoWells Fargomortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,005,233,716
Wells FargoWells Fargomortgage abuses2010CA-AG$33,868,615
Wells FargoWells Fargoinvestor protection violation2009CA-AG$1,400,000,000
Wells FargoWells Fargotoxic securities abuses2018IL-AG$17,250,000
Wells FargoWells Fargomortgage abuses2012MD-AG$940,056
Wells FargoWells Fargoconsumer protection violation2004NY-AG$2,900,000
Wells FargoWells Fargoconsumer protection violation2016WV-AG$8,000,000
Wells FargoWells Fargoconsumer protection violation2016CA-LACA$50,000,000
Wells FargoWells Fargodiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells FargoWells Fargoworkplace whistleblower retaliation2017OSHA$577,500
Wells FargoWells Fargoworkplace whistleblower retaliation2022OSHA$22,000,000
Wells Fargo & Co.Wells Fargoinvestor 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
Wells Fargo & Co.Wells Fargoinvestor protection violation2020MD-AG$20,000,000
Wells Fargo & Co.Wells Fargodiscriminatory practices (non-employment)2019private lawsuit-federal$10,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.