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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,002,583,076
Number of Records: 6,975
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$82,898,016,192264
JPMorgan Chase$36,127,193,625218
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,879,318,334102
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Wells Fargo BankWells FargoFamily and Medical Leave Act2006WHD$5,152
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2004WHD$228,209
Wachovia BankWells Fargowage and hour violation2004WHD$5,798,744
First Union BankWells Fargolabor relations violation2000NLRB$9,116
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer ServicesWells FargoServicemembers Civil Relief Act2017DOJ_RIGHTS$5,400,000
Wachovia Bank N.A.Wells Fargoanti-money-laundering deficiencies2010USAO$50,000,000
Wells Fargo Advisors, LLCWells Fargoanti-money-laundering deficiencies2017SEC$3,500,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargoinvestor protection violation2016SEC$440,000
Wells Fargo Bank, National AssociationWells FargoServicemembers Civil Relief Act2016OCC$20,000,000
Wells Fargo Bank N.A.Wells Fargobanking violation2018OCC$500,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2018CFPB$500,000,000
Wells FargoWells Fargowage and hour violation2018private lawsuit-state$27,500,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-state$13,000,000
Wells Fargo AdvisorsWells Fargowage and hour violation2017private lawsuit-federal$3,500,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-federal$685,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-federal$3,900,000
Wells Fargo Insurance ServicesWells Fargowage and hour violation2015private lawsuit-federal$2,000,000
Wells Fargo BankWells Fargowage and hour violation2015private lawsuit-federal$1,850,000
Wells FargoWells Fargowage and hour violation2014private lawsuit-federal$15,000,000
Wells FargoWells Fargowage and hour violation2014private lawsuit-state$3,000,000
Wells Fargo AdvisorsWells Fargowage and hour violation2013private lawsuit-federal$4,000,000
Wells Fargo BankWells Fargowage and hour violation2012private lawsuit-federal$280,000
Wells FargoWells Fargowage and hour violation2011private lawsuit-federal$6,660,000
Wells Fargo BankWells Fargowage and hour violation2011private lawsuit-federal$100,000
Wells FargoWells Fargowage and hour violation2011private lawsuit-federal$6,720,000
Wells FargoWells Fargowage and hour violation2011private lawsuit-federal$6,900,000
Wachovia Financial ServicesWells Fargowage and hour violation2010private lawsuit-federal$450,000
Wells FargoWells Fargowage and hour violation2010private lawsuit-federal$20,000,000
Wachovia SecuritiesWells Fargowage and hour violation2009private lawsuit-federal$39,000,000
A.G. EdwardsWells Fargowage and hour violation2009private lawsuit-federal$12,000,000
A.G. EdwardsWells Fargowage and hour violation2007private lawsuit-federal$20,000,000
Wells FargoWells Fargowage and hour violation2007private lawsuit-federal$12,800,000
Wells Fargo Bank, N.A.Wells Fargotoxic securities abuses2018DOJ_CIVIL$2,090,000,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2018SEC$5,108,441
Wachovia National Bank, N.A.Wells Fargobenefit plan administrator violation2000EBSA$30,000,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2006SEC$2,185,927
Wells Fargo AdvisorsWells Fargoemployment discrimination2011private lawsuit-federal$32,000,000
Wells Fargo AdvisorsWells Fargoemployment discrimination2017private lawsuit-federal$35,500,000
Norwest Investment Services, Inc.Wells Fargoinvestor protection violation2002SEC$153,245
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001SEC$800,000
First Union Securities, Inc.Wells Fargoinvestor protection violation2000SEC$408,931
Wells Fargo Advisors, LLCWells Fargowage and hour violation2018private lawsuit-federal$9,500,000
Wells Fargo Bank N.A.Wells Fargobenefit plan administrator violation2014private lawsuit-federal$62,500,000
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2011private lawsuit-federal$17,500,000
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2015private lawsuit-federal$7,420,000
Wachovia CorporationWells Fargobenefit plan administrator violation2011private lawsuit-federal$12,350,000
Wachovia SecuritiesWells Fargobenefit plan administrator violation2009private lawsuit-federal$1,005,000
Wells Fargo Bank N.A.Wells Fargobankruptcy professional violation2015DOJ_UTP$81,600,000
Wells Fargo SecuritiesWells Fargoinvestor protection violation2019SEC$812,500
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2019SEC$17,363,847
Wells Fargo BankWells Fargoemployment screening violation2016private lawsuit-federal$12,000,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2008NJ-AG$387,000
Strong Capital Management Co.Wells Fargoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $58,750,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2006MULTI-AG$25,000,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007MD-AG$402,386
Wachovia SecuritiesWells Fargoinvestor protection violation2008MULTI-AG$60,000,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009DE-AG$309,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2011NJ-AG$3,200,000
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 Fargo & CompanyWells Fargoinvestor protection violation2018NY-AG$65,000,000
Wells Fargo BankWells Fargoconsumer protection violation2011CT-AG$741,465
Wells Fargo BankWells Fargomortgage abuses2015MA-AG$675,000
Wells Fargo BankWells Fargomortgage abuses2015MD-AG$13,800,000
Wells Fargo Bank N.A.Wells Fargobanking violation2018MULTI-AG$575,000,000
Wells Fargo BankWells Fargoprivacy violation2016CA-AG$8,500,000
Wells Fargo Financial BankWells Fargoconsumer protection violation2003NY-AG$33,500
Wells Fargo Financial Leasing, Inc.Wells Fargoconsumer protection violation2005MULTI-AG$10,000,000
Wells Fargo Bank, N.A.Wells Fargoinvestor protection violation2019CFTC$14,475,000
Wells Fargo Bank, N.A.Wells Fargoeconomic sanction violation2013OFAC$23,937
Wells Fargo Bank, N.AWells Fargoeconomic sanction violation2010OFAC$67,500
Wells Fargo Bank N.A.Wells Fargoemployment discrimination2019OFCCP$283,697
Wells FargoWells Fargoconsumer protection violation2016CA-LACA$50,000,000
Wells Fargo Home Mortgage, Inc.Wells Fargoconsumer protection violation2003CA-SCCDA$25,000
Wells Fargo Financial Texas, Inc.Wells Fargoemployment discrimination2003EEOC$110,000
Wells Fargo BankWells FargoFalse Claims Act and related2008USAO$4,046,786
Wells Fargo Bank N.A.Wells Fargowage and hour violation2019WHD$57,675
Wells Fargo BankWells Fargowage and hour violation2016WHD$38,230
Wells Fargo & CompanyWells Fargowage and hour violation2014WHD$100,001
Wells Fargo & CompanyWells Fargowage and hour violation2020private lawsuit-federal$35,000,000
Wells Fargo & CompanyWells Fargofraud2020DOJ_CIVIL$3,000,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargoinvestor protection violation2020SEC$35,000,000
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
Wachovia Securities, LLCWells Fargoinvestor protection violation2010AK-DBS$129,131
Wells Fargo Financial California, Inc.Wells Fargoconsumer protection violation2005CA-DFPI$1,621,010
Wells Fargo Fund Distributor, LLCWells Fargoconsumer protection violation2014CA-DFPI$8,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc.Wells Fargoinsurance violation2019CA-INS$5,345,816
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007CT-SEC$258,728
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010CT-SEC$75,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2017IL-SEC$270,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010IN-SEC$8,495
Wells Fargo Clearing Services, LLCWells Fargoinvestor protection violation2019MA-SEC$450,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2008MD-SEC$50,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2012MD-SEC$50,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.