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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,662,850,737
Number of Penalty Records: 11,080
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$41,333,342,096156
UBS$27,713,994,893137
JPMorgan Chase$27,158,534,167124
Citigroup$19,750,393,935106
Deutsche Bank$15,638,617,27868
Goldman Sachs$13,128,062,84158
NatWest Group PLC$12,129,162,85723
Wells Fargo$10,735,730,989130
Morgan Stanley$9,905,512,956168
BNP Paribas$9,167,798,00012

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
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2008MD-SEC$50,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2012MD-SEC$50,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2017MO-SEC$25,672
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007ND-SEC$75,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2003NE-DBF$20,000
Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2016NH-BSR$35,000
Ragen Mackenzie Investment Services LLCWells Fargofinancial servicesinvestor protection violation2004OR-FIN$8,500
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2007SC-SEC$575,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2008TX-SEC$5,000
WELLS FARGO ADVISORSWells Fargofinancial servicesinvestor protection violation2015VA-SEC$205,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2016VT-FIN$300,000
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2007MULTI-FIN$24,650,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009MULTI-FIN$1,900,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020MD-AG$20,000,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016FINRA$4,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2016FINRA$1,500,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2011FINRA$1,000,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009FINRA$4,500,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007FINRA$300,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2005FINRA$2,970,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$650,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$150,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001FINRA$20,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2001FINRA$10,000
First Union Brokerage Services, Inc.Wells Fargofinancial servicesinvestor protection violation2001FINRA$32,500
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$5,890,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2021OCC$250,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesbanking violation2021USAO$72,600,000
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022SEC$7,000,000
Wells Fargo & Co.Wells Fargofinancial serviceseconomic sanction violation2023OFAC$30,000,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2023CFTC$75,000,000
Wells Fargo Securities, LLC et al.Wells Fargofinancial servicesinvestor protection violation2023SEC$125,000,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023SEC$35,000,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023ME-SEC$5,000
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
WEX Bank and Higher One, Inc.WEX Inc.financial servicesbanking violation2015FDIC$34,980,000
WEX Inc.WEX Inc.financial servicesinvestor protection violation2021SEC$350,000
William Grant & Sons, Inc.William Grant & Sons Ltd.beveragestax violations2024ATTTB$303,815
Wintrust Financial CorporationWintrust Financial Corp.financial servicesbanking violation2019FED$1,012,500
Woodforest National BankWoodforest National Bankfinancial servicesbanking violation2010OCC$33,000,000
World Fuel Services CorporationWorld Kinect Corporationwholesalerseconomic sanction violation2013OFAC$39,501
WPP Group USA, Inc.WPPbusiness servicestax violations2016CT-AG$5,400
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
Xerox (UK) LimitedXeroxmiscellaneous serviceseconomic sanction violation2004OFAC$5,207
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002SEC$10,000,000
Mar Cor Purification, Inc.Xylemmiscellaneous servicestax violations2015CT-AG$14,543
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2023SEC$8,500,000
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2024USAO$8,500,000
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004SEC$37,000,000
Atlas Tube, Inc.Zekelman Industriesmetalseconomic sanction violation2004OFAC$126,500
Zim American Israeli Shipping Co., IncZim Integrated Shipping Services Ltd.freight and logisticseconomic sanction violation2003OFAC$250,000
Zimmer Dental Inc.Zimmer Biometmedical equipment and supplieseconomic sanction violation2007OFAC$82,850
Zions Direct, Inc.Zions Bancorporationfinancial servicesinvestor protection violation2010FINRA$225,000
Fort Dodge Animal HealthZoetispharmaceuticalseconomic sanction violation2004OFAC$26,956
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008SEC$25,000,000
Zurich Life Insurance Company LtdZurich Insurancefinancial servicestax violations2019DOJ_TAX$5,115,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.