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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
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargoinvestor protection violation2020SEC$35,000,000
Wells Fargo Clearing Services, LLCWells Fargoinvestor protection violation2019MA-SEC$450,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2019SEC$17,363,847
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2020FINRA$2,075,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2017FINRA$3,400,000
WELLS FARGO FINANCIAL BANKWells Fargobanking violation2009FDIC$125,000
Wells Fargo Financial BankWells Fargoconsumer protection violation2003NY-AG$33,500
Wells Fargo Financial California, Inc.Wells Fargoconsumer protection violation2005CA-DFPI$1,621,010
Wells Fargo Financial Leasing, Inc.Wells Fargoconsumer protection violation2005MULTI-AG$10,000,000
Wells Fargo Financial Texas, Inc.Wells Fargoemployment discrimination2003EEOC$110,000
Wells Fargo Fund Distributor, LLCWells Fargoconsumer protection violation2014CA-DFPI$8,000
Wells Fargo Home MortgageWells Fargodiscriminatory practices (non-employment)2014HUD$5,000,000
Wells Fargo Home Mortgage, Inc.Wells Fargoconsumer protection violation2003CA-SCCDA$25,000
Wells Fargo Insurance ServicesWells Fargowage and hour violation2015private lawsuit-federal$2,000,000
Wells Fargo InvestmentsWells Fargoinvestor protection violation2005FINRA$3,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009MULTI-FIN$1,900,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2011FINRA$2,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009FINRA$275,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2005FINRA$2,970,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2004FINRA$150,000
Wells Fargo SecuritiesWells Fargoinvestor protection violation2019SEC$812,500
Wells Fargo Securities LLCWells Fargotoxic securities abuses2011SEC$11,000,000
Wells Fargo Securities, LLCWells Fargoinvestor protection violation2014FINRA$4,000,000
Wells Fargo Securities, LLCWells Fargoinvestor protection violation2007FINRA$250,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargoinvestor protection violation2016FINRA$4,000,000
WELLS FARGO SECURITIES, LLC.Wells Fargoworkplace safety or health violation2004OSHA$5,000
Western and Southern Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2005MULTI-FIN$2,400,000
Western Asset Management Co.Franklin Resourcesinvestor protection violation2001SEC$50,000
Western Asset Management CompanyFranklin Resourcesinvestor protection violation2014SEC$19,400,000
Western Asset Management CompanyFranklin Resourcesbenefit plan administrator violation2014EBSA$21,000,000
Western Sky Financial LLC et al.CashCall Inc.consumer protection violation2016NC-BKG$9,275,000
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp.CashCall Inc.consumer protection violation2016IN-AG$1,000,000
Western Sky Financial, CashCall Inc. and WS FundingCashCall Inc.consumer protection violation2016AR-AG$750,000
Western Sky Financial, LLCCashCall Inc.consumer protection violation2014NY-AG$1,500,000
Western Sky Financial, LLCCashCall Inc.consumer protection violation2012OR-FIN$17,500
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-AG$24,700,000
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-FIN$2,200,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2014CO-AG$565,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2013NV-BKG$50,000
Western Sky Financial, LLC, CashCall, Inc.CashCall Inc.consumer protection violation2017GA-AG$42,000,000
Western Sky Financial, LLC, WS Funding, LLC, CashCall, Inc., Delbert Services Corp.CashCall Inc.consumer protection violation2015MA-AG$259,115
Western UnionWestern Unionanti-money-laundering deficiencies2018NY-DFS$60,000,000
WESTERN UNIONWestern Unionworkplace safety or health violation2015OSHA$11,000
Western Union Co.Western Unionconsumer protection violation2017MULTI-AG$5,000,000
Western Union CompanyWestern Unionanti-money-laundering deficiencies2017DOJ_CRIMINAL$586,000,000
Western Union Financial ServicesWestern Unionconsumer protection violation2005MULTI-AG$8,529,000
Western Union Financial Services, Inc.Western Unioneconomic sanction violation2019OFAC$401,697
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Western Union Financial Services, Inc.Western Unionconsumer protection violation2008AZ-DIFI$2,000,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2002NY-DFS$8,000,000
Western Union International Services LLCWestern Unionconsumer protection violation2019FL-OFR$10,000
WEX Bank and Higher One, Inc.WEX Inc.banking violation2015FDIC$34,980,000
WEX Inc.WEX Inc.investor protection violation2021SEC$350,000
WFS Financial, Inc.Wells Fargodiscriminatory practices (non-employment)2004private lawsuit-federal$4,550,000
WHEELABRATOR BALTIMOREMacquarieenvironmental violation2011MD-ENV$77,500
WHEELABRATOR BALTIMOREMacquarieenvironmental violation2003MD-ENV$17,500
Wheelabrator Claremont Company, L.P.Macquarieenergy market violation2018FERC$357,231
WHEELABRATOR CONCORD INC.Macquarieworkplace safety or health violation2019OSHA$7,100
WHEELABRATOR ENERGY COMPANY, INCORPORATEDMacquarieworkplace safety or health violation2011OSHA$15,000
WHEELABRATOR FALLS INCMacquarieenvironmental violation2020PA-ENV$12,000
WHEELABRATOR FALLS INCMacquarieenvironmental violation2006PA-ENV$21,079
Wheelabrator Falls Inc.Macquarieenvironmental violation2005PA-ENV$106,849
WHEELABRATOR FRACKVILLE ENERGYMacquarieenvironmental violation2012PA-ENV$27,400
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieenvironmental violation2017NJ-ENV$6,000
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieenvironmental violation2016NJ-ENV$12,900
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieenvironmental violation2001NJ-ENV$10,400
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieenvironmental violation2001NJ-ENV$11,200
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieenvironmental violation2000NJ-ENV$11,600
Wheelabrator Lisbon, Inc.Macquarieenvironmental violation2013CT-ENV$9,350
WHEELABRATOR MILLBURY INC.Macquarieworkplace safety or health violation2018OSHA$9,472
WHEELABRATOR NORTH ANDOVERMacquarieworkplace safety or health violation2019OSHA$7,500
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2012CA-SCAQMD$8,900
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2009CA-SCAQMD$7,500
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2006CA-SCAQMD$9,000
WHEELABRATOR PORTSMOUTHMacquarieworkplace safety or health violation2010OSHA$6,890
Wheelabrator Portsmouth Inc.Macquarieenvironmental violation2016VA-ENV$7,669
Wheelabrator Putnam IncorporatedMacquarieenvironmental violation2003CT-ENV$33,500
WHEELABRATOR RIDGE ENERGY, INC.Macquarieenvironmental violation2004FL-DEP$19,000
WHEELABRATOR SAUGUS, INC.Macquarieworkplace safety or health violation2017OSHA$17,600
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator MillburyMacquarieenvironmental violation2011MA-AG$7,500,000
WHEELABRATOR SHASTA ENERGY CO, INCMacquarieworkplace safety or health violation2010OSHA$10,000
WHEELABRATOR SHASTA ENERGY CO.Macquarieworkplace safety or health violation2000OSHA$10,275
WHEELABRATOR SOUTH BROWARD, INC.Macquarieenvironmental violation2005FL-DEP$14,450
Wheelabrator South Broward, Inc.Macquarieenvironmental violation2021FL-DEP$78,000
Wheelabrator Westchester, L.P.Macquarielabor relations violation2005NLRB$13,000
William Penn Life Insurance CompanyLegal & General Group PLCinsurance violation2018NY-DFS$6,300,000
William Penn Life Insurance Company of New YorkLegal & General Group PLCinsurance violation2020NY-DFS$110,000
Williams Power Company Inc.JPMorgan Chasedata submission deficiencies2006DOJ_CRIMINAL$50,000,000
Willis GroupWillis Towers Watsonemployment discrimination2011private lawsuit-federal$11,595,038
Willis GroupWillis Towers Watsonemployment discrimination2008private lawsuit-federal$12,757,949
Willis Group Holdings Ltd.Willis Towers Watsonconsumer protection violation2007FL-AG$2,600,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2005NY-AG$50,000,000
Wilmington Finance Inc.OneMain Holdingswage and hour violation2008private lawsuit-federal$2,925,000
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.banking violation2019OCC$85,265
Wilmington TrustM&T Bankaccounting fraud or deficiencies2014SEC$18,500,000
Wilmington Trust Co.M&T Bankemployment discrimination2004EEOC$70,000
Wilmington Trust Co.M&T Bankinvestor protection violation2005DE-SEC$50,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2004SEC$125,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2007SEC$100,000
Wilmington Trust Corp.M&T Bankbenefit plan administrator violation2014private lawsuit-federal$3,000,000
Wilmington Trust CorporationM&T Bankemployment discrimination2018EEOC$700,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.