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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
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.A.Wells Fargofinancial servicesbanking violation2021USAO$72,600,000
Wells Fargo Bank, N.AWells Fargofinancial serviceseconomic sanction violation2010OFAC$67,500
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 servicesbankruptcy professional violation2015DOJ_UTP$81,600,000
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$42,833
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2003OFAC$5,500
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 servicesanti-money-laundering deficiencies2017SEC$3,500,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2017IL-SEC$270,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2010IN-SEC$8,495
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2011FINRA$1,000,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018SEC$5,108,441
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2012MD-SEC$50,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2016VT-FIN$300,000
Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2016NH-BSR$35,000
WELLS FARGO ADVISORSWells Fargofinancial servicesinvestor protection violation2015VA-SEC$205,000
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022SEC$7,000,000
Wells Fargo & CompanyWells Fargofinancial servicesinvestor protection violation2018NY-AG$65,000,000
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
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020MD-AG$20,000,000
Wells Fargo & Co.Wells Fargofinancial serviceseconomic sanction violation2023OFAC$30,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2018IL-AG$17,250,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2023CFTC$75,000,000
Wellington Sports Club, LLC investor protection violation2019MS-SEC$61,270
Wellington Sports Club LLC et al. investor protection violation2018OR-FIN$35,000
Wellington Sales & Installation Co., Inc. tax violations2012CT-AG$6,390
Wellesley Asset Management, Inc investor protection violation2023SEC$1,000,000
WellCare Health Plans Inc.Centenehealthcare servicesinvestor protection violation2010MULTI-AG$200,000,000
Welhouse & Associates, Inc. investor protection violation2015SEC$769,059
Weldon LLC investor protection violation2013AZ-CC$9,000
Weld Asia Associates accounting fraud or deficiencies2017PCAOB$20,000
Weiss Research, Inc investor protection violation2006SEC$1,991,141
Weiss Asset Management LP investor protection violation2022SEC$6,899,004
Weisbrod Chinese Art, Ltd. tax violations2007NY-MANDA$1,121,046
Weinberg & Baer LLC accounting fraud or deficiencies2018SEC$62,899
WEI Mortgage Corp. investor protection violation2010MD-SEC$25,000
Wegelin & Co tax violations2013DOJ_TAX$74,000,000
Wefunder Portal LLC investor protection violation2022FINRA$1,400,000
Wedgewood Properties, LLC investor protection violation2016MI-SEC$5,000
Wedgewood Properties, LLC investor protection violation2018MI-SEC$60,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014SEC$67,200
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018SEC$1,304,197
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019SEC$8,100,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019SEC$1,852,540
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016TN-SEC$30,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018FINRA$1,500,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2021SEC$1,207,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023CFTC$6,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023SEC$10,000,000
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014SEC$2,440,000
Webull Financial LLC investor protection violation2023MA-SEC$500,000
Webster Bank, National Association banking violation2007OCC$125,000
WebRotator, Inc. investor protection violation2019WA-FIN$65,000
WEBBANK banking violation2010FDIC$300,000
Weaver and Tidwell, L.L.P. accounting fraud or deficiencies2017PCAOB$30,000
Weatherford InternationalWeatherford Internationaloilfield services and suppliesaccounting fraud or deficiencies2016SEC$140,000,000
WealthWise Inc. investor protection violation2023TN-SEC$17,000
Wealthfront Advisers LLC investor protection violation2018SEC$250,000
WealthForge Securities, LLC and WealthForge Holdings, Inc. investor protection violation2020VA-SEC$50,000
Wealthcorp, LLC investor protection violation2022AZ-CC$1,564,446
WealthCFO, LLC investor protection violation2018SEC$409,405
WealthCare, LLC investor protection violation2016MO-SEC$5,000
WealthBuilders.Name LLC investor protection violation2019IL-SEC$10,000
Wealth Protection Group, LLC investor protection violation2022SD-SEC$5,000
Wealth Plus, Inc. investor protection violation2022SEC$398,232
Wealth Plus of the Dakotas Inc. investor protection violation2022SD-SEC$12,500
WEALTH PLANNING & MANAGEMENT, LLC investor protection violation2023IN-SEC$6,568
Wealth Matters, Inc. investor protection violation2009VA-SEC$5,000
Wealth Management of Kentucky Inc. investor protection violation2020KY-FIN$5,000
Wealth Management LLC investor protection violation2010SEC$1,471,002
Wealth Management Institute, Ltd. investor protection violation2005MD-SEC$13,406
Wealth Management Group, Inc. investor protection violation2017MI-SEC$5,000
Wealth Management and Marketing LLC investor protection violation2010MD-SEC$180,000
Wealth Investors LLC investor protection violation2017TN-SEC$5,000
Wealth Financial International, LLC investor protection violation2011MO-SEC$365,942
Wealth Enhancement & Preservation, LLC investor protection violation2009AZ-CC$145,006
Wealth Creator Private Equity, LLC investor protection violation2019AZ-CC$35,000
Wealth by Design, Inc. and Clinton D. Fraley Living Trust investor protection violation2012CO-SEC$365,252
WDM Chartered Professional Accountants accounting fraud or deficiencies2021PCAOB$10,000
WDC Advisors, LLC investor protection violation2023PA-BKG$50,000
WCO Holdings, LLC investor protection violation2021MO-SEC$100,000
WCM Investment Management investor protection violation2005IL-SEC$12,500
WCM Global Wealth, LLC investor protection violation2015CA-DFPI$5,000
WCM Financial Services and Equity Options, Inc. investor protection violation2013OR-FIN$30,000
WCAS Management Corporation? investor protection violation2018SEC$778,819
WCAS Management Corporation investor protection violation2020SEC$100,000
WB Mason, Inc. accounting fraud or deficiencies2009MA-AG$545,000
Wayzata Investment Partners LLC investor protection violation2024SEC$60,000
Wayne Player Productions, LLC investor protection violation2014NJ-BOS$1,169,229
Wayne Bank and Trust Company banking violation2017FED$23,000
Wave Equity Partners LLC investor protection violation2022SEC$325,000
WAUWATOSA SAVINGS BANK banking violation2008FDIC$6,475
WAUMANDEE STATE BANK banking violation2009FDIC$13,090
Wattenberg 1 LLC et al. investor protection violation2021AZ-CC$488,880
Watkins Development, LLC investor protection violation2014MS-SEC$680,131
WATG Holdings, Inc. economic sanction violation2016OFAC$140,400
WATERSTONE BANK, SSB banking violation2010FDIC$5,775
Watermark Securities, Inc. investor protection violation2022SEC$25,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.