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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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
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 Bank, National AssociationWells Fargowage and hour violation2022CA-LCO$12,399
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
Wells Fargo BankWells Fargoconsumer protection violation2022CFPB$3,700,000,000
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2009KY-FIN$5,000
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2011MULTI-FIN$3,000,000
Wedbush SecuritiesWedbush Securitiesinvestor protection violation2014SEC$2,440,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2014SEC$67,200
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018SEC$1,304,197
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$250,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$8,100,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$1,852,540
Wedbush Securities Inc.Wedbush Securitiesinsurance violation2011CO-INS$14,300
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016TN-SEC$30,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018FINRA$1,500,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016FINRA$675,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2021SEC$1,207,000
Wedbush Morgan SecuritiesWedbush Securitiesenvironmental violation2006CA-SCAQMD$5,000
Washington FederalWashington Federal Inc.consumer protection violation2013CFPB$34,000
Washington Federal Bank, N.A.Washington Federal Inc.consumer protection violation2020CFPB$200,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$2,500,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$40,500
W.R. Berkley Corp.W.R. Berkleyinsurance violation2017CA-INS$3,015,000
Admiral Risk Insurance Services, Inc.W.R. Berkleyinsurance violation2017CA-INS$1,542,500
Admiral Insurance Co.W.R. Berkleyinsurance violation2017CA-INS$1,542,500
Continental Western Insurance Co.W.R. Berkleyinsurance violation2019CT-INS$23,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2008KS-INS$10,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2012KS-INS$6,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2007MO-INS$7,708
Continental Western Insurance Co.W.R. Berkleyinsurance violation2014MO-INS$12,000
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2016TX-INS$8,000
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2011VA-INS$10,000
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2012VA-INS$5,000
ACADIA INSURANCE COMPANY ET ALW.R. Berkleyinsurance violation2018VA-INS$91,793
Acadia Insurance Company et al.W.R. Berkleyinsurance violation2019VA-INS$9,341
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2018WA-INS$10,000
CONTINENTAL WESTERN INSURANCE COMPANYW.R. Berkleyinsurance violation2020WA-INS$10,000
Acadia Insurance Co.W.R. Berkleyinsurance violation2021TX-INS$8,250
Acadia Insurance CompanyW.R. Berkleyinsurance violation2022VT-FIN$100,000
W. R. BERKLEY CORPORATIONW.R. Berkleyworkplace safety or health violation2017OSHA$5,000
ING AmericaVoya Financialwage and hour violation2010WHD$21,986
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2017SEC$3,095,953
Voya Holdings Inc.Voya Financialinvestor protection violation2018SEC$3,600,000
ING Life Insurance and Annuity Co.Voya Financialbenefit plan administrator violation2013EBSA$5,200,000
Voya Financial Advisors Inc.Voya Financialinvestor protection violation2018SEC$1,000,000
ING Life Insurance & Annuity Co.Voya Financialbenefit plan administrator violation2014private lawsuit-federal$14,950,000
ING Groep N.V.Voya Financialbenefit plan administrator violation2013private lawsuit-federal$3,500,000
INGVoya Financialinvestor protection violation2006MULTI-AG$33,000,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2013MULTI-AG$10,700,000
ING USA Annuity and Life Insurance Co.Voya Financialinsurance violation2007CO-INS$5,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc.Voya Financialinvestor protection violation2019CT-SEC$1,015,000
ING Financial Partners, Inc.Voya Financialinvestor protection violation2008IL-SEC$4,677,326
ING Financial Partners, Inc.Voya Financialinvestor protection violation2012MN-FIN$5,000
ING Life Insurance and Annuity Co. et al.Voya Financialinsurance violation2012MN-FIN$200,000
Voya Insurance and Annuity Co. et al.Voya Financialinsurance violation2014MN-FIN$1,250,000
ReliaStar Life Insurance Co.Voya Financialinsurance violation2014MN-FIN$30,000
ReliaStar Insurance Co.Voya Financialinsurance violation2017MN-FIN$5,000
ING Life Insurance and Annuity CompanyVoya Financialinvestor protection violation2006NH-BSR$3,000,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2004OR-FIN$10,000
RELIASTAR LIFE INSURANCE COVoya Financialinsurance violation2001VA-INS$9,000
RELIASTAR LIFE INSURANCE CO.Voya Financialinsurance violation2007VA-INS$8,000
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2020SEC$22,919,155
VOYA Financial Advisors Inc.Voya Financialinvestor protection violation2016FINRA$4,550,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.