Violation Tracker

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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,312,528,119
Number of Records: 8,003
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	$87,320,969,499	333
JPMorgan Chase	$40,164,908,209	281
UBS	$31,275,299,125	181
Wells Fargo	$27,618,169,231	268
Citigroup	$27,081,211,792	183
Deutsche Bank	$20,015,467,563	100
Goldman Sachs	$17,919,491,249	115
NatWest Group PLC	$14,264,317,618	41
Morgan Stanley	$10,924,502,443	207
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
Wintrust Financial Corporation	Wintrust Financial Corp.	banking violation	2019	FED	$1,012,500
Towers Perrin	Willis Towers Watson	wage and hour violation	2005	WHD	$105,865
Towers, Perrin, Forrester & Crosby	Willis Towers Watson	wage and hour violation	2005	WHD	$294,279
Towers Perrin	Willis Towers Watson	wage and hour violation	2004	WHD	$376,093
Watson Wyatt & Co.	Willis Towers Watson	labor relations violation	2005	NLRB	$91,000
Willis Group	Willis Towers Watson	employment discrimination	2011	private lawsuit-federal	$11,595,038
Willis Group	Willis Towers Watson	employment discrimination	2008	private lawsuit-federal	$12,757,949
Willis Group Holdings Ltd.	Willis Towers Watson	consumer protection violation	2007	FL-AG	$2,600,000
Willis Group Holdings Ltd.	Willis Towers Watson	price-fixing or anti-competitive practices	2005	NY-AG	$50,000,000
Watson Wyatt & Company	Willis Towers Watson	False Claims Act and related	2005	USAO	$689,828
Towers Perrin	Willis Towers Watson	benefit plan administrator violation	2011	private lawsuit-federal	$9,200,000
Willis Group Holdings Ltd.	Willis Towers Watson	price-fixing or anti-competitive practices	2012	private lawsuit-federal	$3,727,272
Willis Towers Watson Northeast, Inc.	Willis Towers Watson	insurance violation	2023	TX-INS	$13,075
Willis Towers Watson Northeast Inc.	Willis Towers Watson	insurance violation	2024	NY-DFS	$160,800
Willis Towers Watson Insurance Services West Inc	Willis Towers Watson	insurance violation	2024	TX-INS	$14,750
Willis Towers Watson Northeast, Inc.	Willis Towers Watson	insurance violation	2024	TX-INS	$9,150
WEX Bank and Higher One, Inc.	WEX Inc.	banking violation	2015	FDIC	$34,980,000
WEX Inc.	WEX Inc.	investor protection violation	2021	SEC	$350,000
Westpac Banking Corporation	Westpac Banking	price-fixing or anti-competitive practices	2022	private lawsuit-federal	$25,000,000
Ruesch International, Inc.	Western Union	economic sanction violation	2004	OFAC	$7,811
Western Union Company	Western Union	anti-money-laundering deficiencies	2017	DOJ_CRIMINAL	$586,000,000
Western Union Financial Services, Inc.	Western Union	economic sanction violation	2019	OFAC	$401,697
Western Union Co.	Western Union	consumer protection violation	2017	MULTI-AG	$5,000,000
Western Union Financial Services	Western Union	consumer protection violation	2005	MULTI-AG	$8,529,000
Western Union Financial Services, Inc.	Western Union	anti-money-laundering deficiencies	2010	MULTI-AG	$94,000,000
Western Union Financial Services, Inc.	Western Union	consumer protection violation	2008	AZ-DIFI	$2,000,000
Western Union International Services LLC	Western Union	consumer protection violation	2019	FL-OFR	$10,000
Western Union Financial Services, Inc.	Western Union	anti-money-laundering deficiencies	2002	NY-DFS	$8,000,000
Western Union	Western Union	anti-money-laundering deficiencies	2018	NY-DFS	$60,000,000
Western Union Co.	Western Union	consumer protection violation	2016	private lawsuit-federal	$133,000,000
Western Union Co.	Western Union	consumer protection violation	2000	private lawsuit-federal	$375,000,000
WESTERN UNION	Western Union	workplace safety or health violation	2015	OSHA	$11,000
Gerber Life Insurance Company	Western & Southern Financial Group	wage and hour violation	2009	WHD	$172,799
Gerber Life Insurance Co.	Western & Southern Financial Group	insurance violation	2011	MD-INS	$5,000
Gerber Life Insurance Co.	Western & Southern Financial Group	insurance violation	2013	MD-INS	$14,000
Gerber Life Insurance Co.	Western & Southern Financial Group	insurance violation	2017	MD-INS	$8,000
National Integrity Life Insurance Company	Western & Southern Financial Group	insurance violation	2018	NY-DFS	$240,000
Gerber Life Insurance Co.	Western & Southern Financial Group	insurance violation	2000	WA-INS	$350,000
Western and Southern Life Insurance Company	Western & Southern Financial Group	insurance violation	2005	MULTI-FIN	$2,400,000
Gerber Life Insurance Co.	Western & Southern Financial Group	insurance violation	2020	NC-INS	$3,635,665
National Integrity Life Insurance Company	Western & Southern Financial Group	insurance violation	2020	NY-DFS	$20,000
Gerber Life Insurance Co.	Western & Southern Financial Group	insurance violation	2022	UT-INS	$317,750
Gerber Life Insurance Company	Western & Southern Financial Group	insurance violation	2022	VA-INS	$27,600
Western & Southern Life	Western & Southern Financial Group	wage and hour violation	2021	MI-LEO	$20,000
Western & Southern Life	Western & Southern Financial Group	wage and hour violation	2021	MI-LEO	$7,000
Wachovia Bank N.A.	Wells Fargo	price-fixing or anti-competitive practices	2011	DOJ_ANTITRUST	$148,000,000
Wells Fargo	Wells Fargo	consumer protection violation	2015	CFPB	$34,800,000
Wells Fargo Bank, National Association	Wells Fargo	banking violation	2015	OCC	$4,000,000
Wells Fargo	Wells Fargo	banking violation	2013	OCC	$1,991,141,181
Wells Fargo Bank, National Association	Wells Fargo	banking violation	2011	OCC	$34,500,000
Wachovia Bank N.A.	Wells Fargo	banking violation	2010	OCC	$50,000,000
Wells Fargo & Company	Wells Fargo	banking violation	2012	FED	$87,000,000
Wells Fargo & Company	Wells Fargo	banking violation	2011	FED	$85,000,000
Wachovia Bank	Wells Fargo	anti-money-laundering deficiencies	2010	FINCEN	$110,000,000
Wells Fargo Bank, National Association	Wells Fargo	False Claims Act and related	2016	DOJ_CIVIL	$1,200,000,000
Wells Fargo & Company	Wells Fargo	mortgage abuses	2012	DOJ	$5,342,200,000
Wells Fargo Advisors LLC	Wells Fargo	investor protection violation	2014	SEC	$5,000,000
Wells Fargo	Wells Fargo	toxic securities abuses	2012	SEC	$6,500,000
Wells Fargo Securities LLC	Wells Fargo	toxic securities abuses	2011	SEC	$11,000,000
Wells Fargo	Wells Fargo	toxic securities abuses	2013	FHFA	$591,000,000
Wells Fargo Bank, National Association	Wells Fargo	toxic securities abuses	2013	FHFA	$869,000,000
Wachovia	Wells Fargo	toxic securities abuses	2015	NCUA	$53,000,000
Wells Fargo Bank	Wells Fargo	mortgage abuses	2012	DOJ_RIGHTS	$234,300,000
Wells Fargo & Company	Wells Fargo	Americans with Disabilities Act	2011	DOJ_RIGHTS	$16,055,000
Wells Fargo Bank, N.A.	Wells Fargo	banking violation	2016	OCC	$70,000,000
Wells Fargo Bank	Wells Fargo	consumer protection violation	2016	CFPB	$4,010,000
Wells Fargo Bank	Wells Fargo	banking violation	2016	CFPB	$100,000,000
Wells Fargo Bank	Wells Fargo	banking violation	2016	OCC	$35,000,000
A.G. Edwards & Sons, Inc.	Wells Fargo	investor protection violation	2003	CFTC	$45,000
Prudential Securities, Inc.	Wells Fargo	investor protection violation	2002	CFTC	$65,000
WELLS FARGO FINANCIAL BANK	Wells Fargo	banking violation	2009	FDIC	$125,000
A.G. Edwards and Sons Inc.	Wells Fargo	economic sanction violation	2008	OFAC	$122,358
Wachovia Bank	Wells Fargo	economic sanction violation	2007	OFAC	$11,000
Wachovia Bank	Wells Fargo	economic sanction violation	2005	OFAC	$5,500
Wells Fargo Bank	Wells Fargo	economic sanction violation	2005	OFAC	$42,833
First Union Bank	Wells Fargo	economic sanction violation	2004	OFAC	$18,740
Wachovia Bank	Wells Fargo	economic sanction violation	2004	OFAC	$11,000
Wells Fargo Bank	Wells Fargo	economic sanction violation	2003	OFAC	$5,500
Wells Fargo Bank, National Association	Wells Fargo	banking violation	2009	OCC	$51,205
Wachovia Bank, National Association	Wells Fargo	banking violation	2008	OCC	$168,900,000
Wells Fargo Bank, National Association	Wells Fargo	banking violation	2005	OCC	$115,000
Evergreen Investment Management Company LLC	Wells Fargo	investor protection violation	2009	SEC	$40,000,000
Evergreen Investment Management Company	Wells Fargo	investor protection violation	2007	SEC	$32,500,000
A.G. Edwards & Sons, Inc.	Wells Fargo	investor protection violation	2007	SEC	$3,860,000
A.G. Edwards & Sons, Inc.	Wells Fargo	investor protection violation	2006	SEC	$125,000
Wachovia Capital Markets, LLC	Wells Fargo	investor protection violation	2006	SEC	$125,000
Wachovia Corporation	Wells Fargo	investor protection violation	2004	SEC	$37,000,000
Strong Capital Management, Inc.	Wells Fargo	investor protection violation	2004	SEC	$80,000,000
Wachovia Securities, LLC	Wells Fargo	investor protection violation	2004	SEC	$4,844,465
Prudential Securities, Inc.	Wells Fargo	investor protection violation	2003	SEC	$382,000
Prudential Securities Incorporated	Wells Fargo	investor protection violation	2000	SEC	$5,880,000
Wells Fargo Bank, N.A.	Wells Fargo	investor protection violation	2016	CFTC	$400,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2016	DOJ_RIGHTS	$4,100,000
Wells Fargo Home Mortgage	Wells Fargo	discriminatory practices (non-employment)	2014	HUD	$5,000,000
Wells Fargo Bank, N.A.	Wells Fargo	employment discrimination	2014	EEOC	$290,000
Wells Fargo & Company	Wells Fargo	employment discrimination	2014	EEOC	$295,000
Wells Fargo	Wells Fargo	employment discrimination	2015	OFCCP	$14,000
Wells Fargo Bank, N. A.	Wells Fargo	Family and Medical Leave Act	2016	WHD	$11,874
Wells Fargo Bank NA	Wells Fargo	wage and hour violation	2011	WHD	$31,770
Wells Fargo Bank	Wells Fargo	Family and Medical Leave Act	2006	WHD	$5,152
Wells Fargo Bank, National Association	Wells Fargo	wage and hour violation	2004	WHD	$228,209