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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,268,054,805
Number of Penalty Records: 11,008
Note: The totals here are adjusted to account for the fact that each current 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$41,332,842,096155
UBS$27,709,494,893134
JPMorgan Chase$27,007,359,167119
Citigroup$19,742,743,935103
Deutsche Bank$15,634,467,27866
Goldman Sachs$13,126,412,84157
NatWest Group PLC$12,235,546,85725
Wells Fargo$10,735,220,989127
Morgan Stanley$9,877,862,956163
BNP Paribas$9,164,773,00010

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008SEC$25,000,000
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007SEC$16,800,000
Zurich Life Insurance Company LtdZurich Insurancefinancial servicestax violations2019DOJ_TAX$5,115,000
Fort Dodge Animal HealthZoetispharmaceuticalseconomic sanction violation2004OFAC$26,956
Zions First National BankZions Bancorporationfinancial servicesbanking violation2011OCC$8,000,000
Zions Direct, Inc.Zions Bancorporationfinancial servicesinvestor protection violation2010FINRA$225,000
Zimmer Dental Inc.Zimmer Biometmedical equipment and supplieseconomic sanction violation2007OFAC$82,850
Zim American Israeli Shipping Co., IncZim Integrated Shipping Services Ltd.freight and logisticseconomic sanction violation2003OFAC$250,000
Atlas Tube, Inc.Zekelman Industriesmetalseconomic sanction violation2004OFAC$126,500
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004SEC$37,000,000
Mar Cor Purification, Inc.Xylemmiscellaneous servicestax violations2015CT-AG$14,543
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2023SEC$8,500,000
Xerox (UK) LimitedXeroxmiscellaneous serviceseconomic sanction violation2004OFAC$5,207
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002SEC$10,000,000
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.financial servicesbanking violation2019OCC$85,265
Bryn Mawr Trust CompanyWSFS Financial Corp.financial servicesbanking violation2021FED$105,000
WPP Group USA, Inc.WPPbusiness servicestax violations2016CT-AG$5,400
World Fuel Services CorporationWorld Kinect Corporationwholesalerseconomic sanction violation2013OFAC$39,501
Woodforest National BankWoodforest National Bankfinancial servicesbanking violation2010OCC$33,000,000
Wintrust Financial CorporationWintrust Financial Corp.financial servicesbanking violation2019FED$1,012,500
William Grant & Sons, Inc.William Grant & Sons Ltd.beveragestax violations2024ATTTB$303,815
Smithfield Foods IncWH Groupfood productsinvestor protection violation2010DOJ_ANTITRUST$900,000
Smithfield Foods Inc.WH Groupfood productsinvestor protection violation2004DOJ_ANTITRUST$2,000,000
WEX Bank and Higher One, Inc.WEX Inc.financial servicesbanking violation2015FDIC$34,980,000
WEX Inc.WEX Inc.financial servicesinvestor protection violation2021SEC$350,000
Ruesch International, Inc.Western Unionfinancial serviceseconomic sanction violation2004OFAC$7,811
Western Union CompanyWestern Unionfinancial servicesanti-money-laundering deficiencies2017DOJ_CRIMINAL$586,000,000
Western Union Financial Services, Inc.Western Unionfinancial serviceseconomic sanction violation2019OFAC$401,697
Western Union Financial Services, Inc.Western Unionfinancial servicesanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Western Union Financial Services, Inc.Western Unionfinancial servicesanti-money-laundering deficiencies2002NY-DFS$8,000,000
Western UnionWestern Unionfinancial servicesanti-money-laundering deficiencies2018NY-DFS$60,000,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2015OCC$4,000,000
Wells FargoWells Fargofinancial servicesbanking violation2013OCC$1,991,141,181
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2011OCC$34,500,000
Wachovia Bank N.A.Wells Fargofinancial servicesbanking violation2010OCC$50,000,000
Wells Fargo & CompanyWells Fargofinancial servicesbanking violation2012FED$87,000,000
Wells Fargo & CompanyWells Fargofinancial servicesbanking violation2011FED$85,000,000
Wachovia BankWells Fargofinancial servicesanti-money-laundering deficiencies2010FINCEN$110,000,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2014SEC$5,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2012SEC$6,500,000
Wells Fargo Securities LLCWells Fargofinancial servicestoxic securities abuses2011SEC$11,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2013FHFA$591,000,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicestoxic securities abuses2013FHFA$869,000,000
WachoviaWells Fargofinancial servicestoxic securities abuses2015NCUA$53,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesbanking violation2016OCC$70,000,000
Wells Fargo BankWells Fargofinancial servicesbanking violation2016CFPB$100,000,000
Wells Fargo BankWells Fargofinancial servicesbanking violation2016OCC$35,000,000
WELLS FARGO FINANCIAL BANKWells Fargofinancial servicesbanking violation2009FDIC$125,000
A.G. Edwards and Sons Inc.Wells Fargofinancial serviceseconomic sanction violation2008OFAC$122,358
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2007OFAC$11,000
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$5,500
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$42,833
First Union BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$18,740
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$11,000
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2003OFAC$5,500
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2009OCC$51,205
Wachovia Bank, National AssociationWells Fargofinancial servicesbanking violation2008OCC$168,900,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2005OCC$115,000
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009SEC$40,000,000
Evergreen Investment Management CompanyWells Fargofinancial servicesinvestor protection violation2007SEC$32,500,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007SEC$3,860,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006SEC$125,000
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004SEC$37,000,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2004SEC$80,000,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2004SEC$4,844,465
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003SEC$382,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000SEC$5,880,000
Wachovia Bank N.A.Wells Fargofinancial servicesanti-money-laundering deficiencies2010USAO$50,000,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesanti-money-laundering deficiencies2017SEC$3,500,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargofinancial servicesinvestor protection violation2016SEC$440,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesbanking violation2018OCC$500,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicestoxic securities abuses2018DOJ_CIVIL$2,090,000,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018SEC$5,108,441
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$2,185,927
Norwest Investment Services, Inc.Wells Fargofinancial servicesinvestor protection violation2002SEC$153,245
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001SEC$800,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000SEC$408,931
Wells Fargo Bank N.A.Wells Fargofinancial servicesbankruptcy professional violation2015DOJ_UTP$81,600,000
Wells Fargo SecuritiesWells Fargofinancial servicesinvestor protection violation2019SEC$812,500
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2019SEC$17,363,847
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2008NJ-AG$387,000
Strong Capital Management Co.Wells Fargofinancial servicesinvestor 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 Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2006MULTI-AG$25,000,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007MD-AG$402,386
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2008MULTI-AG$60,000,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009DE-AG$309,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2011NJ-AG$3,200,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2009CA-AG$1,400,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2018IL-AG$17,250,000
Wells Fargo & CompanyWells Fargofinancial servicesinvestor protection violation2018NY-AG$65,000,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesbanking violation2018MULTI-AG$575,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019CFTC$14,475,000
Wells Fargo Bank, N.A.Wells Fargofinancial serviceseconomic sanction violation2013OFAC$23,937
Wells Fargo Bank, N.AWells Fargofinancial serviceseconomic sanction violation2010OFAC$67,500
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesinvestor protection violation2020SEC$35,000,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor 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 Fargofinancial servicesinvestor protection violation2010AK-DBS$129,131
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007CT-SEC$258,728
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2010CT-SEC$75,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2017IL-SEC$270,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.