Wells Fargo | consumer protection violation | 2016 | WV-AG | $8,000,000 |
Wells Fargo Bank, N. A. | Family and Medical Leave Act | 2016 | WHD | $11,874 |
Wells Fargo Bank NA | wage and hour violation | 2011 | WHD | $31,770 |
Wells Fargo Bank | Family and Medical Leave Act | 2006 | WHD | $5,152 |
Wells Fargo Bank, National Association | wage and hour violation | 2004 | WHD | $228,209 |
Wachovia Bank | wage and hour violation | 2004 | WHD | $5,798,744 |
Wells Fargo Bank N.A. | wage and hour violation | 2019 | WHD | $57,675 |
Wells Fargo Bank | wage and hour violation | 2016 | WHD | $38,230 |
Wells Fargo & Company | wage and hour violation | 2014 | WHD | $100,001 |
Wells Fargo Advisors LLC | investor protection violation | 2016 | VT-FIN | $300,000 |
WELLS FARGO ADVISORS | investor protection violation | 2015 | VA-SEC | $205,000 |
Wachovia Bank N.A. | anti-money-laundering deficiencies | 2010 | USAO | $50,000,000 |
Wells Fargo Bank | False Claims Act and related | 2008 | USAO | $4,046,786 |
Wells Fargo Bank, N.A. | banking violation | 2021 | USAO | $72,600,000 |
Wells Fargo | Americans with Disabilities Act | 2023 | USAO | $10,000 |
A.G. Edwards & Sons Inc. | investor protection violation | 2008 | TX-SEC | $5,000 |
Wells Fargo Advisors LLC | investor protection violation | 2014 | SEC | $5,000,000 |
Wells Fargo | toxic securities abuses | 2012 | SEC | $6,500,000 |
Wells Fargo Securities LLC | toxic securities abuses | 2011 | SEC | $11,000,000 |
Evergreen Investment Management Company LLC | investor protection violation | 2009 | SEC | $40,000,000 |
Evergreen Investment Management Company | investor protection violation | 2007 | SEC | $32,500,000 |
A.G. Edwards & Sons, Inc. | investor protection violation | 2007 | SEC | $3,860,000 |
A.G. Edwards & Sons, Inc. | investor protection violation | 2006 | SEC | $125,000 |
Wachovia Capital Markets, LLC | investor protection violation | 2006 | SEC | $125,000 |
Wachovia Corporation | investor protection violation | 2004 | SEC | $37,000,000 |
Strong Capital Management, Inc. | investor protection violation | 2004 | SEC | $80,000,000 |
Wachovia Securities, LLC | investor protection violation | 2004 | SEC | $4,844,465 |
Prudential Securities, Inc. | investor protection violation | 2003 | SEC | $382,000 |
Prudential Securities Incorporated | investor protection violation | 2000 | SEC | $5,880,000 |
Wells Fargo Advisors, LLC | anti-money-laundering deficiencies | 2017 | SEC | $3,500,000 |
Wells Fargo Bank N.A. Municipal Products Group | investor protection violation | 2016 | SEC | $440,000 |
Wells Fargo Advisors LLC | investor protection violation | 2018 | SEC | $5,108,441 |
Strong Capital Management, Inc. | investor protection violation | 2006 | SEC | $2,185,927 |
Norwest Investment Services, Inc. | investor protection violation | 2002 | SEC | $153,245 |
Prudential Securities Incorporated | investor protection violation | 2001 | SEC | $800,000 |
First Union Securities, Inc. | investor protection violation | 2000 | SEC | $408,931 |
Wells Fargo Securities | investor protection violation | 2019 | SEC | $812,500 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | investor protection violation | 2019 | SEC | $17,363,847 |
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network | investor protection violation | 2020 | SEC | $35,000,000 |
Wells Fargo & Co. | investor protection violation | 2020 | SEC | (*)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 Advisors | anti-money-laundering deficiencies | 2022 | SEC | $7,000,000 |
Wells Fargo Securities, LLC et al. | investor protection violation | 2023 | SEC | $125,000,000 |
Wells Fargo Clearing Services LLC | investor protection violation | 2023 | SEC | $35,000,000 |
A.G. Edwards & Sons Inc. | investor protection violation | 2007 | SC-SEC | $575,000 |
Wells Fargo | workplace whistleblower retaliation | 2017 | OSHA | $577,500 |
Wells Fargo Bank N.A | workplace whistleblower retaliation | 2017 | OSHA | $5,400,000 |
Wells Fargo | workplace whistleblower retaliation | 2022 | OSHA | $22,000,000 |
WELLS FARGO SECURITIES, LLC. | workplace safety or health violation | 2004 | OSHA | $5,000 |
WELLS FARGO BANK #1692 | workplace safety or health violation | 2013 | OSHA | $12,000 |
WELLS FARGO BANK, NA | workplace safety or health violation | 2017 | OSHA | $9,000 |
Ragen Mackenzie Investment Services LLC | investor protection violation | 2004 | OR-FIN | $8,500 |
Wells Fargo | employment discrimination | 2015 | OFCCP | $14,000 |
Wells Fargo Bank N.A. | employment discrimination | 2019 | OFCCP | $283,697 |
Wells Fargo Bank, N.A. | employment discrimination | 2020 | OFCCP | $7,800,000 |
A.G. Edwards and Sons Inc. | economic sanction violation | 2008 | OFAC | $122,358 |
Wachovia Bank | economic sanction violation | 2007 | OFAC | $11,000 |
Wachovia Bank | economic sanction violation | 2005 | OFAC | $5,500 |
Wells Fargo Bank | economic sanction violation | 2005 | OFAC | $42,833 |
First Union Bank | economic sanction violation | 2004 | OFAC | $18,740 |
Wachovia Bank | economic sanction violation | 2004 | OFAC | $11,000 |
Wells Fargo Bank | economic sanction violation | 2003 | OFAC | $5,500 |
Wells Fargo Bank, N.A. | economic sanction violation | 2013 | OFAC | $23,937 |
Wells Fargo Bank, N.A | economic sanction violation | 2010 | OFAC | $67,500 |
Wells Fargo & Co. | economic sanction violation | 2023 | OFAC | $30,000,000 |
Wells Fargo Bank, National Association | banking violation | 2015 | OCC | $4,000,000 |
Wells Fargo | banking violation | 2013 | OCC | $1,991,141,181 |
Wells Fargo Bank, National Association | banking violation | 2011 | OCC | $34,500,000 |
Wachovia Bank N.A. | banking violation | 2010 | OCC | $50,000,000 |
Wells Fargo Bank, N.A. | banking violation | 2016 | OCC | $70,000,000 |
Wells Fargo Bank | banking violation | 2016 | OCC | $35,000,000 |
Wells Fargo Bank, National Association | banking violation | 2009 | OCC | $51,205 |
Wachovia Bank, National Association | banking violation | 2008 | OCC | $168,900,000 |
Wells Fargo Bank, National Association | banking violation | 2005 | OCC | $115,000 |
Wells Fargo Bank, National Association | consumer protection violation | 2016 | OCC | $20,000,000 |
Wells Fargo Bank N.A. | banking violation | 2018 | OCC | $500,000,000 |
Wells Fargo Bank, National Association | banking violation | 2021 | OCC | $250,000,000 |
Wells Fargo Bank | consumer protection violation | 2015 | NY-DFS | $4,000,000 |
Wells Fargo | consumer protection violation | 2004 | NY-AG | $2,900,000 |
Wells Fargo & Company | investor protection violation | 2018 | NY-AG | $65,000,000 |
Wells Fargo Financial Bank | consumer protection violation | 2003 | NY-AG | $33,500 |
First Union Bank | labor relations violation | 2000 | NLRB | $9,116 |
A.G. Edwards & Sons, Inc. | investor protection violation | 2008 | NJ-AG | $387,000 |
Wachovia Securities, LLC | investor protection violation | 2011 | NJ-AG | $3,200,000 |
Wells Fargo Advisors Financial Network, LLC | investor protection violation | 2016 | NH-BSR | $35,000 |
A.G. Edwards & Sons Inc. | investor protection violation | 2003 | NE-DBF | $20,000 |
Wachovia Securities LLC | investor protection violation | 2007 | ND-SEC | $75,000 |
Wachovia | toxic securities abuses | 2015 | NCUA | $53,000,000 |
Wachovia Capital Markets LLC | investor protection violation | 2007 | MULTI-FIN | $24,650,000 |
Wachovia Securities LLC | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Wells Fargo Investments, LLC | investor protection violation | 2009 | MULTI-FIN | $1,900,000 |
Strong Capital Management Co. | investor protection violation | 2004 | MULTI-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 Bank N.A. | price-fixing or anti-competitive practices | 2011 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $58,750,000 |
Wachovia Capital Markets LLC | investor protection violation | 2006 | MULTI-AG | $25,000,000 |
Wachovia Securities | investor protection violation | 2008 | MULTI-AG | $60,000,000 |
Wells Fargo | consumer protection violation | 2010 | MULTI-AG | $23,700,000 |
Wells Fargo | mortgage abuses | 2012 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,005,233,716 |
Wells Fargo Bank N.A. | banking violation | 2018 | MULTI-AG | $575,000,000 |
Wells Fargo Financial Leasing, Inc. | consumer protection violation | 2005 | MULTI-AG | $10,000,000 |
A.G. Edwards & Sons, Inc. | investor protection violation | 2011 | MO-SEC | $765,993 |
A.G. Edwards & Sons, Inc. | investor protection violation | 2017 | MO-SEC | $25,672 |
Wells Fargo Home Mortgage Inc | wage and hour violation | 2010 | MI-LEO | $9,222 |