Violation Tracker

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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,610,993,640
Number of Records: 7,983
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 Companies	Total Penalty $	Number of Records
Bank of America	$87,299,969,499	332
JPMorgan Chase	$40,164,908,209	281
UBS	$31,275,299,125	181
Wells Fargo	$27,617,269,231	267
Citigroup	$27,081,211,792	183
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,919,491,249	115
NatWest Group PLC	$14,264,317,618	41
Morgan Stanley	$10,909,502,443	206
BNP Paribas	$10,363,464,666	23

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	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
Wells Fargo Bank	Wells Fargo	wage and hour violation	2016	WHD	$38,230
Wells Fargo Bank	Wells Fargo	consumer protection violation	2015	NY-DFS	$4,000,000
Wells Fargo Bank	Wells Fargo	wage and hour violation	2020	private lawsuit-federal	$10,928,870
Wells Fargo Bank	Wells Fargo	discriminatory practices (non-employment)	2021	HUD	$125,000
Wells Fargo Bank	Wells Fargo	consumer protection violation	2022	CFPB	$3,700,000,000
WELLS FARGO BANK #1692	Wells Fargo	workplace safety or health violation	2013	OSHA	$12,000
Wells Fargo Bank N.A	Wells Fargo	workplace whistleblower retaliation	2017	OSHA	$5,400,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2016	DOJ_RIGHTS	$4,100,000
Wells Fargo Bank N.A.	Wells Fargo	banking violation	2018	OCC	$500,000,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2018	CFPB	$500,000,000
Wells Fargo Bank N.A.	Wells Fargo	benefit plan administrator violation	2014	private lawsuit-federal	$62,500,000
Wells Fargo Bank N.A.	Wells Fargo	bankruptcy professional violation	2015	DOJ_UTP	$81,600,000
Wells Fargo Bank N.A.	Wells Fargo	banking violation	2018	MULTI-AG	$575,000,000
Wells Fargo Bank N.A.	Wells Fargo	employment discrimination	2019	OFCCP	$283,697
Wells Fargo Bank N.A.	Wells Fargo	wage and hour violation	2019	WHD	$57,675
Wells Fargo Bank N.A.	Wells Fargo	discriminatory practices (non-employment)	2011	private lawsuit-state	$3,520,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2021	private lawsuit-federal	$6,945,095
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2017	private lawsuit-federal	$750,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2017	private lawsuit-federal	$880,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2016	private lawsuit-federal	$203,000,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2014	private lawsuit-federal	$140,500,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2012	private lawsuit-federal	$6,778,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2012	private lawsuit-federal	$3,190,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2011	private lawsuit-federal	$125,000,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2024	private lawsuit-federal	$81,700,000
Wells Fargo Bank N.A.	Wells Fargo	wage and hour violation	2024	private lawsuit-federal	$16,600,000
Wells Fargo Bank N.A. Municipal Products Group	Wells Fargo	investor protection violation	2016	SEC	$440,000
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services	Wells Fargo	consumer protection violation	2017	DOJ_RIGHTS	$5,400,000
Wells Fargo Bank NA	Wells Fargo	wage and hour violation	2011	WHD	$31,770
WELLS FARGO BANK NA	Wells Fargo	wage and hour violation	2022	IL-DOL	$18,049
WELLS FARGO BANK NA	Wells Fargo	wage and hour violation	2022	IL-DOL	$18,049
Wells Fargo Bank, N. A.	Wells Fargo	Family and Medical Leave Act	2016	WHD	$11,874
Wells Fargo Bank, N.A	Wells Fargo	economic sanction violation	2010	OFAC	$67,500
Wells Fargo Bank, N.A.	Wells Fargo	banking violation	2016	OCC	$70,000,000
Wells Fargo Bank, N.A.	Wells Fargo	investor protection violation	2016	CFTC	$400,000
Wells Fargo Bank, N.A.	Wells Fargo	employment discrimination	2014	EEOC	$290,000
Wells Fargo Bank, N.A.	Wells Fargo	toxic securities abuses	2018	DOJ_CIVIL	$2,090,000,000
Wells Fargo Bank, N.A.	Wells Fargo	investor protection violation	2019	CFTC	$14,475,000
Wells Fargo Bank, N.A.	Wells Fargo	economic sanction violation	2013	OFAC	$23,937
Wells Fargo Bank, N.A.	Wells Fargo	employment discrimination	2020	OFCCP	$7,800,000
Wells Fargo Bank, N.A.	Wells Fargo	discriminatory practices (non-employment)	2012	private lawsuit-federal	$7,500,000
Wells Fargo Bank, N.A.	Wells Fargo	wage and hour violation	2020	private lawsuit-federal	$25,696,122
Wells Fargo Bank, N.A.	Wells Fargo	privacy violation	2017	private lawsuit-federal	$30,446,022
Wells Fargo Bank, N.A.	Wells Fargo	banking violation	2021	USAO	$72,600,000
Wells Fargo Bank, N.A.	Wells Fargo	privacy violation	2021	private lawsuit-federal	$28,000,000
Wells Fargo Bank, N.A.	Wells Fargo	wage and hour violation	2021	private lawsuit-federal	$95,696,122
Wells Fargo Bank, N.A.	Wells Fargo	price-fixing or anti-competitive practices	2018	private lawsuit-federal	$8,750,000
Wells Fargo Bank, N.A.	Wells Fargo	consumer protection violation	2022	private lawsuit-federal	$12,000,000
Wells Fargo Bank, N.A.	Wells Fargo	consumer protection violation	2022	private lawsuit-federal	$21,864,673
Wells Fargo Bank, N.A.	Wells Fargo	consumer protection violation	2021	private lawsuit-federal	$45,000,000
Wells Fargo Bank, N.A.	Wells Fargo	consumer protection violation	2020	private lawsuit-federal	$18,500,000
Wells Fargo Bank, N.A.	Wells Fargo	consumer protection violation	2019	private lawsuit-federal	$386,000,000
Wells Fargo Bank, N.A.	Wells Fargo	consumer protection violation	2019	private lawsuit-federal	$30,000,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc.	Wells Fargo	insurance violation	2019	CA-INS	$5,345,816
WELLS FARGO BANK, NA	Wells Fargo	workplace safety or health violation	2017	OSHA	$9,000
Wells Fargo Bank, National Association	Wells Fargo	banking violation	2015	OCC	$4,000,000
Wells Fargo Bank, National Association	Wells Fargo	banking violation	2011	OCC	$34,500,000
Wells Fargo Bank, National Association	Wells Fargo	False Claims Act and related	2016	DOJ_CIVIL	$1,200,000,000
Wells Fargo Bank, National Association	Wells Fargo	toxic securities abuses	2013	FHFA	$869,000,000
Wells Fargo Bank, National Association	Wells Fargo	banking violation	2009	OCC	$51,205
Wells Fargo Bank, National Association	Wells Fargo	banking violation	2005	OCC	$115,000
Wells Fargo Bank, National Association	Wells Fargo	wage and hour violation	2004	WHD	$228,209
Wells Fargo Bank, National Association	Wells Fargo	consumer protection violation	2016	OCC	$20,000,000
Wells Fargo Bank, National Association	Wells Fargo	banking violation	2021	OCC	$250,000,000
Wells Fargo Bank, National Association	Wells Fargo	wage and hour violation	2022	CA-LCO	$9,795
Wells Fargo Bank, National Association	Wells Fargo	wage and hour violation	2013	CA-LCO	$37,036
Wells Fargo Bank, National Association	Wells Fargo	wage and hour violation	2005	CA-LCO	$6,572
Wells Fargo Bank, National Association	Wells Fargo	wage and hour violation	2022	CA-LCO	$12,399
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network	Wells Fargo	investor protection violation	2020	SEC	$35,000,000
Wells Fargo Clearing Services LLC	Wells Fargo	investor protection violation	2023	SEC	$35,000,000
Wells Fargo Clearing Services LLC	Wells Fargo	investor protection violation	2023	ME-SEC	$5,000
Wells Fargo Clearing Services, LLC	Wells Fargo	investor protection violation	2019	MA-SEC	$450,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC	Wells Fargo	investor protection violation	2019	SEC	$17,363,847
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC	Wells Fargo	investor protection violation	2020	FINRA	$2,075,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC	Wells Fargo	investor protection violation	2017	FINRA	$3,400,000
WELLS FARGO FINANCIAL BANK	Wells Fargo	banking violation	2009	FDIC	$125,000
Wells Fargo Financial Bank	Wells Fargo	consumer protection violation	2003	NY-AG	$33,500
Wells Fargo Financial California, Inc.	Wells Fargo	consumer protection violation	2005	CA-DFPI	$1,621,010
Wells Fargo Financial Leasing, Inc.	Wells Fargo	consumer protection violation	2005	MULTI-AG	$10,000,000
Wells Fargo Financial Texas, Inc.	Wells Fargo	employment discrimination	2003	EEOC	$110,000
Wells Fargo Fund Distributor, LLC	Wells Fargo	consumer protection violation	2014	CA-DFPI	$8,000
Wells Fargo Home Mortgage	Wells Fargo	discriminatory practices (non-employment)	2014	HUD	$5,000,000
Wells Fargo Home Mortgage Inc	Wells Fargo	wage and hour violation	2010	MI-LEO	$9,222
Wells Fargo Home Mortgage, Inc.	Wells Fargo	consumer protection violation	2003	CA-SCCDA	$25,000
Wells Fargo Insurance Services	Wells Fargo	wage and hour violation	2015	private lawsuit-federal	$2,000,000
Wells Fargo Investments	Wells Fargo	investor protection violation	2005	FINRA	$3,000,000
Wells Fargo Investments, LLC	Wells Fargo	investor protection violation	2009	MULTI-FIN	$1,900,000
Wells Fargo Investments, LLC	Wells Fargo	investor protection violation	2011	FINRA	$2,000,000
Wells Fargo Investments, LLC	Wells Fargo	investor protection violation	2009	FINRA	$275,000
Wells Fargo Investments, LLC	Wells Fargo	investor protection violation	2005	FINRA	$2,970,000
Wells Fargo Investments, LLC	Wells Fargo	investor protection violation	2004	FINRA	$150,000
Wells Fargo Merchant Services LLC	Wells Fargo	consumer protection violation	2021	private lawsuit-federal	$40,000,000
Wells Fargo N.A.	Wells Fargo	consumer protection violation	2017	private lawsuit-federal	$50,000,000
Wells Fargo Securities	Wells Fargo	investor protection violation	2019	SEC	$812,500
Wells Fargo Securities LLC	Wells Fargo	toxic securities abuses	2011	SEC	$11,000,000
Wells Fargo Securities, LLC	Wells Fargo	investor protection violation	2014	FINRA	$4,000,000
Wells Fargo Securities, LLC	Wells Fargo	investor protection violation	2007	FINRA	$250,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC	Wells Fargo	investor protection violation	2016	FINRA	$4,000,000
Wells Fargo Securities, LLC et al.	Wells Fargo	investor protection violation	2023	SEC	$125,000,000
WELLS FARGO SECURITIES, LLC.	Wells Fargo	workplace safety or health violation	2004	OSHA	$5,000
Western & Southern Life	Western & Southern Financial Group	wage and hour violation	2021	MI-LEO	$20,000