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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$347,398,347,522
Number of Records: 7,169
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$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
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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CompanyCurrent Parent sort icon . Primary Offense TypeYearAgencyPenalty Amount
WESTERN UNIONWestern Unionworkplace safety or health violation2015OSHA$11,000
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
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$148,000,000
Wells FargoWells Fargoconsumer protection violation2015CFPB$34,800,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2015OCC$4,000,000
Wells FargoWells Fargobanking violation2013OCC$1,991,141,181
Wells Fargo Bank, National AssociationWells Fargobanking violation2011OCC$34,500,000
Wachovia Bank N.A.Wells Fargobanking violation2010OCC$50,000,000
Wells Fargo & CompanyWells Fargobanking violation2012FED$87,000,000
Wells Fargo & CompanyWells Fargobanking violation2011FED$85,000,000
Wachovia BankWells Fargoanti-money-laundering deficiencies2010FINCEN$110,000,000
Wells Fargo Bank, National AssociationWells FargoFalse Claims Act and related2016DOJ_CIVIL$1,200,000,000
Wells Fargo & CompanyWells Fargomortgage abuses2012DOJ$5,342,200,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2014SEC$5,000,000
Wells FargoWells Fargotoxic securities abuses2012SEC$6,500,000
Wells Fargo Securities LLCWells Fargotoxic securities abuses2011SEC$11,000,000
Wells FargoWells Fargotoxic securities abuses2013FHFA$591,000,000
Wells Fargo Bank, National AssociationWells Fargotoxic securities abuses2013FHFA$869,000,000
WachoviaWells Fargotoxic securities abuses2015NCUA$53,000,000
Wells Fargo BankWells Fargomortgage abuses2012DOJ_RIGHTS$234,300,000
Wells Fargo & CompanyWells FargoAmericans with Disabilities Act2011DOJ_RIGHTS$16,055,000
Wells Fargo Bank, N.A.Wells Fargobanking violation2016OCC$70,000,000
Wells Fargo BankWells Fargoconsumer protection violation2016CFPB$4,010,000
Wells Fargo BankWells Fargobanking violation2016CFPB$100,000,000
Wells Fargo BankWells Fargobanking violation2016OCC$35,000,000
A.G. Edwards & Sons, Inc.Wells Fargodata submission deficiencies2003CFTC$45,000
Prudential Securities, Inc.Wells Fargodata submission deficiencies2002CFTC$65,000
WELLS FARGO FINANCIAL BANKWells Fargobanking violation2009FDIC$125,000
A.G. Edwards and Sons Inc.Wells Fargoeconomic sanction violation2008OFAC$122,358
Wachovia BankWells Fargoeconomic sanction violation2007OFAC$11,000
Wachovia BankWells Fargoeconomic sanction violation2005OFAC$5,500
Wells Fargo BankWells Fargoeconomic sanction violation2005OFAC$42,833
First Union BankWells Fargoeconomic sanction violation2004OFAC$18,740
Wachovia BankWells Fargoeconomic sanction violation2004OFAC$11,000
Wells Fargo BankWells Fargoeconomic sanction violation2003OFAC$5,500
Wells Fargo Bank, National AssociationWells Fargobanking violation2009OCC$51,205
Wachovia Bank, National AssociationWells Fargobanking violation2008OCC$168,900,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2005OCC$115,000
Evergreen Investment Management Company LLCWells Fargoinvestor protection violation2009SEC$40,000,000
Evergreen Investment Management CompanyWells Fargoinvestor protection violation2007SEC$32,500,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2007SEC$3,860,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2006SEC$125,000
Wachovia CorporationWells Fargoinvestor protection violation2004SEC$37,000,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2004SEC$80,000,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2004SEC$4,844,465
Prudential Securities, Inc.Wells Fargoinvestor protection violation2003SEC$382,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2000SEC$5,880,000
Wells Fargo Bank, N.A.Wells Fargodata submission deficiencies2016CFTC$400,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2016DOJ_RIGHTS$4,100,000
Wells Fargo Home MortgageWells Fargodiscriminatory practices (non-employment)2014HUD$5,000,000
Wells Fargo Bank, N.A.Wells Fargoemployment discrimination2014EEOC$290,000
Wells Fargo & CompanyWells Fargoemployment discrimination2014EEOC$295,000
Wells FargoWells Fargoemployment discrimination2015OFCCP$14,000
Wells Fargo Bank, N. A.Wells FargoFamily and Medical Leave Act2016WHD$11,874
Wells Fargo Bank NAWells Fargowage and hour violation2011WHD$31,770
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 Fargoconsumer protection violation2017DOJ_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 Fargoconsumer protection violation2016OCC$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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.