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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Wi-Lan Technologies Inc. tax violations2015CT-AG$12,255
Why Not Entertainment, L.L.C. investor protection violation2001AZ-CC$137,500
Whoistrustee.com Limited dba Binaryoptionrobot.com investor protection violation2017MO-SEC$104,100
Whitney National Bank banking violation2010OCC$125,000
Whitford Worldwide Company, LLC economic sanction violation2020OFAC$824,314
Whitestone Check Cashing Corp. anti-money-laundering deficiencies2003NY-DFS$200,000
White Plains Glass & Mirror, Inc. tax violations2012CT-AG$8,000
White Cedar Group, LLC investor protection violation2014NJ-BOS$2,000,000
White Birch USA economic sanction violation2017OFAC$372,465
White Birch Brewing LLC investor protection violation2020NH-BSR$5,000
Whitcraft Capital Management, Inc. investor protection violation2006CA-DFPI$45,000
Whitaker Bank banking violation2011FED$8,500
Whispering Winds Properties, L.L.C et al. investor protection violation2009AZ-CC$16,633,570
Whispering Creek Investments LLC investor protection violation2019AZ-CC$1,214,923
Wheat First Securities Inc. investor protection violation2000FINRA$7,730,000
WFG Investments Inc. investor protection violation2015TX-SEC$175,000
WFG Advisors, L.P. investor protection violation2016SEC$100,000
WFB Management Group, LLC investor protection violation2017MO-SEC$150,000
Wexford Wealth Advisors, LLC investor protection violation2022PA-BKG$6,000
WEX Inc.WEX Inc.financial servicesinvestor protection violation2021SEC$350,000
WEX Bank and Higher One, Inc.WEX Inc.financial servicesbanking violation2015FDIC$34,980,000
Wetzel Energy Technology Company Inc. and Better Fuel North West, A WETCO Company, Inc. investor protection violation2018WA-FIN$250,000
Westwood Holdings, Inc. investor protection violation2005WA-FIN$21,000
WESTSOUND BANK banking violation2006FDIC$6,000
Westrock Advisors, Inc. investor protection violation2008CT-SEC$25,000
Westport Capital Markets, LLC investor protection violation2021SEC$1,320,761
Westpark Capital, Inc. investor protection violation2017MO-SEC$18,000
Westminster Securities Corporation investor protection violation2000TN-SEC$10,000
Westminster Holdings Ltd et al. investor protection violation2002OR-FIN$15,000
WestLB AG banking violation2003FED$3,000,000
Westlands Water District investor protection violation2016SEC$125,000
Westfort Energy Ltd. investor protection violation2006TN-SEC$108,773
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 Union CompanyWestern Unionfinancial servicesanti-money-laundering deficiencies2017DOJ_CRIMINAL$586,000,000
Western UnionWestern Unionfinancial servicesanti-money-laundering deficiencies2018NY-DFS$60,000,000
WESTERN STATE BANK, THE banking violation2008FDIC$5,150
WESTERN STATE BANK banking violation2007FDIC$9,005
WESTERN STATE BANK banking violation2007FDIC$5,000
WESTERN STATE BANK banking violation2001FDIC$6,000
Western State Bank banking violation2012FDIC$7,000
Western Realty Investments LLC investor protection violation2014NH-BSR$6,750
Western Pacific Capital Management, LLC investor protection violation2012SEC$781,940
Western Growers Financial Services, Inc. investor protection violation2006IL-SEC$5,250
Western Gateway Region Rural Broadband Company, Inc investor protection violation2020AZ-CC$15,000
Western Bank banking violation2014FED$5,410
WESTERN BANK banking violation2011FDIC$12,000
WESTERN BANK banking violation2011FDIC$7,805
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014SEC$19,400,000
Western Asset Management Co.Franklin Resourcesfinancial servicesinvestor protection violation2001SEC$50,000
Westend Capital Management, LLC investor protection violation2014SEC$150,000
Westchester Check Cashing, Inc. anti-money-laundering deficiencies2004NY-DFS$35,000
Westcap Energy, Inc. dba Westcap Solar investor protection violation2013AZ-CC$10,000
Westbourne Investments Inc. investor protection violation2021SEC$25,000
West Town Savings Bank banking violation2012FDIC$27,500
West Texas State Bank banking violation2013FDIC$7,500
West Texas State Bank banking violation2013FDIC$7,500
WEST SUBURBAN BANK banking violation2009FDIC$7,000
WEST STREET FINANCIAL SERVICES LLC investor protection violation2023FL-OFR$16,750
WEST POINTE BANK banking violation2009FDIC$15,950
WEST POINTE BANK banking violation2010FDIC$5,005
WEST GATE BANK banking violation2003FDIC$16,400
WEST DES MOINES STATE BANK banking violation2001FDIC$5,000
WEST COAST BANK banking violation2011FDIC$390,000
West Coast Asset Management, Inc. investor protection violation2013SEC$56,186
WEST BANK banking violation2009FDIC$18,920
WEST BANK banking violation2006FDIC$5,440
WEST BANK banking violation2010FDIC$15,500
Wesleyan Investment Foundation, Inc. investor protection violation2018AZ-CC$25,000
Wesleyan Investment Foundation, Inc. investor protection violation2017IN-SEC$9,500
Wesleyan Investment Foundation, Inc. investor protection violation2019KY-FIN$11,250
Wesleyan Investment Foundation, Inc. investor protection violation2018MI-SEC$20,000
Wesleyan Investment Foundation, Inc. investor protection violation2019OR-FIN$13,500
Wesleyan Investment Foundation, Inc. investor protection violation2022NE-DBF$22,000
Wesleyan Investment Foundation Inc. investor protection violation2018PA-BKG$50,000
Wesleyan Investment Foundation Inc. investor protection violation2018SD-INS$10,000
Wesleyan Investment Foundation Inc. investor protection violation2018TN-SEC$13,000
Wesleyan Investment Foundation investor protection violation2021WA-SEC$11,500
Wesleyan Investment investor protection violation2018AR-SEC$10,000
Wesley Capital Management, LLC investor protection violation2012SEC$232,289
Wenima Development LLC and I Am America investor protection violation2022AZ-CC$92,000
Welther Oaks, LLC investor protection violation2022CFTC$441,232
Wells Investment Securities, Inc. investor protection violation2011FINRA$300,000
Wells Fargo Securities, LLC et al.Wells Fargofinancial servicesinvestor protection violation2023SEC$125,000,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016FINRA$4,000,000
Wells Fargo SecuritiesWells Fargofinancial servicesinvestor protection violation2019SEC$812,500
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009MULTI-FIN$1,900,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2005FINRA$2,970,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$150,000
WELLS FARGO FINANCIAL BANKWells Fargofinancial servicesbanking violation2009FDIC$125,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2019SEC$17,363,847
Wells Fargo Clearing Services, LLCWells Fargofinancial servicesinvestor protection violation2019MA-SEC$450,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023SEC$35,000,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023ME-SEC$5,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2015OCC$4,000,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2011OCC$34,500,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2009OCC$51,205
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2005OCC$115,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2021OCC$250,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019CFTC$14,475,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.