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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,660,984,318
Number of Records: 7,055
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$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
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 Securities, LLC and Wells Fargo Prime Services, LLCWells Fargoinvestor protection violation2016FINRA$4,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargoinvestor protection violation2016FINRA$1,500,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2015FINRA$15,000,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargoanti-money-laundering deficiencies2014FINRA$1,500,000
Wells Fargo Securities, LLCWells Fargoinvestor protection violation2014FINRA$4,000,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2013FINRA$3,250,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2012FINRA$1,931,488
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2011FINRA$2,000,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2011FINRA$1,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009FINRA$275,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009FINRA$1,400,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargoinvestor protection violation2009FINRA$1,100,000
Wachovia SecuritiesWells Fargoinvestor protection violation2009FINRA$4,500,000
Prudential SecuritiesWells Fargoinvestor protection violation2008FINRA$1,050,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007FINRA$300,000
Wells Fargo Securities, LLCWells Fargoinvestor protection violation2007FINRA$250,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007FINRA$2,000,000
Wells Fargo InvestmentsWells Fargoinvestor protection violation2005FINRA$3,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2005FINRA$2,970,000
Wachovia Securities LLCWells Fargoinvestor protection violation2004FINRA$650,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2004FINRA$150,000
Wachovia Securities, LLC.Wells Fargoinvestor protection violation2004FINRA$39,486
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001FINRA$20,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2001FINRA$10,000
First Union Brokerage Services, Inc.Wells Fargoinvestor protection violation2001FINRA$32,500
First Union Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$350,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2000FINRA$5,890,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$100,000
Wells Fargo BankWells Fargodiscriminatory practices (non-employment)2021HUD$125,000
Wells FargoWells Fargoworkplace whistleblower retaliation2017OSHA$577,500
Wells Fargo Bank N.AWells Fargoworkplace whistleblower retaliation2017OSHA$5,400,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2021OCC$250,000,000
Wells Fargo Bank, N.A.Wells Fargobanking violation2021USAO$72,600,000
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2021private lawsuit-federal$28,000,000
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2021private lawsuit-federal$95,696,122
Wells Fargo AdvisorsWells Fargoanti-money-laundering deficiencies2022SEC$7,000,000
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2022CA-LCO$9,795
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2013CA-LCO$37,036
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2005CA-LCO$6,572
Wells Fargo and CompanyWells Fargobenefit plan administrator violation2022EBSA$145,000,000
Wells FargoWells Fargoworkplace whistleblower retaliation2022OSHA$22,000,000
Wells Fargo & Co.Wells Fargobenefit plan administrator violation2022private lawsuit-federal$32,500,000
WELLS FARGO SECURITIES, LLC.Wells Fargoworkplace safety or health violation2004OSHA$5,000
WELLS FARGO BANK #1692Wells Fargoworkplace safety or health violation2013OSHA$12,000
WELLS FARGO BANK, NAWells Fargoworkplace safety or health violation2017OSHA$9,000
Gerber Life Insurance CompanyWestern & Southern Financial Groupwage and hour violation2009WHD$172,799
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2011MD-INS$5,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2013MD-INS$14,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2017MD-INS$8,000
National Integrity Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2018NY-DFS$240,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2000WA-INS$350,000
Western and Southern Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2005MULTI-FIN$2,400,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2020NC-INS$3,635,665
National Integrity Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2020NY-DFS$20,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2022UT-INS$317,750
Gerber Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2022VA-INS$27,600
Ruesch International, Inc.Western Unioneconomic sanction violation2004OFAC$7,811
Western Union CompanyWestern Unionanti-money-laundering deficiencies2017DOJ_CRIMINAL$586,000,000
Western Union Financial Services, Inc.Western Unioneconomic sanction violation2019OFAC$401,697
Western Union Co.Western Unionconsumer protection violation2017MULTI-AG$5,000,000
Western Union Financial ServicesWestern Unionconsumer protection violation2005MULTI-AG$8,529,000
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 International Services LLCWestern Unionconsumer protection violation2019FL-OFR$10,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2002NY-DFS$8,000,000
Western UnionWestern Unionanti-money-laundering deficiencies2018NY-DFS$60,000,000
WESTERN UNIONWestern Unionworkplace safety or health violation2015OSHA$11,000
WEX Bank and Higher One, Inc.WEX Inc.banking violation2015FDIC$34,980,000
WEX Inc.WEX Inc.investor protection violation2021SEC$350,000
Towers PerrinWillis Towers Watsonwage and hour violation2005WHD$105,865
Towers, Perrin, Forrester & CrosbyWillis Towers Watsonwage and hour violation2005WHD$294,279
Towers PerrinWillis Towers Watsonwage and hour violation2004WHD$376,093
Watson Wyatt & Co.Willis Towers Watsonlabor relations violation2005NLRB$91,000
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
Watson Wyatt & CompanyWillis Towers WatsonFalse Claims Act and related2005USAO$689,828
Towers PerrinWillis Towers Watsonbenefit plan administrator violation2011private lawsuit-federal$9,200,000
Wintrust Financial CorporationWintrust Financial Corp.banking violation2019FED$1,012,500
Woodforest National BankWoodforest National Bankbanking violation2010OCC$33,000,000
World Acceptance CorporationWorld Acceptance Corporationwage and hour violation2019WHD$5,549
World Acceptance Corporation, IncWorld Acceptance Corporationwage and hour violation2019WHD$6,582
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.banking violation2019OCC$85,265
Bryn Mawr Trust CompanyWSFS Financial Corp.banking violation2021FED$105,000
Zions First National BankZions Bancorporationbanking violation2011OCC$8,000,000
Zions BancorporationZions Bancorporationwage and hour violation2009WHD$15,347
ZB N.A. (fka Zions First National Bank)Zions Bancorporationconsumer protection violation2017USAO$3,600,000
Zions Direct, Inc.Zions Bancorporationinvestor protection violation2010FINRA$225,000
Zurich Financial ServicesZurich Insuranceaccounting fraud or deficiencies2008SEC$25,000,000
Zurich Capital Markets Inc.Zurich Insuranceinvestor protection violation2007SEC$16,800,000
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$565,065
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$754,148
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$20,122
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$209,170
Farmer's InsuranceZurich Insurancewage and hour violation2011WHD$1,520,705
Coast National InsuranceZurich Insurancewage and hour violation2002private lawsuit-state$18,000,000
Farmers Group, Inc.Zurich Insurancebenefit plan administrator violation2012private lawsuit-federal$6,850,000
Zurich Life Insurance Company LtdZurich Insurancetax violations2019DOJ_TAX$5,115,000
Farmers Insurance GroupZurich Insurancediscriminatory practices (non-employment)2001OH-AG$4,300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.