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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Wells Fargo
Ownership Structure: publicly traded (ticker symbol WFC)
Headquartered in: California
Major Industry: financial services
Specific Industry: banking
Penalty total since 2000$21,881,892,841
Number of records: 222
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$10,402,453,489121
consumer-protection-related offenses$6,421,664,48436
competition-related offenses$3,148,000,0003
government-contracting-related offenses$1,204,046,7862
employment-related offenses$705,192,08254
Top 5 Primary Offense TypesPenalty TotalNumber of Records
mortgage abuses$5,625,783,6717
banking violation$4,023,432,38617
toxic securities abuses$3,637,750,0007
fraud$3,000,000,0001
investor protection violation$2,487,362,73582
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below 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. The totals 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 list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense Type sort iconYearAgencyPenalty Amount
Wells Fargoworkplace whistleblower retaliation2017OSHA$577,500
Wells Fargo Bank N.Aworkplace whistleblower retaliation2017OSHA$5,400,000
WELLS FARGO SECURITIES, LLC.workplace safety or health violation2004OSHA$5,000
WELLS FARGO BANK #1692workplace safety or health violation2013OSHA$12,000
WELLS FARGO BANK, NAworkplace safety or health violation2017OSHA$9,000
Wells Fargo Bank NAwage and hour violation2011WHD$31,770
Wells Fargo Bank, National Associationwage and hour violation2004WHD$228,209
Wachovia Bankwage and hour violation2004WHD$5,798,744
Wells Fargowage and hour violation2018private lawsuit-state$27,500,000
Wells Fargowage and hour violation2017private lawsuit-state$13,000,000
Wells Fargo Advisorswage and hour violation2017private lawsuit-federal$3,500,000
Wells Fargowage and hour violation2017private lawsuit-federal$685,000
Wells Fargowage and hour violation2017private lawsuit-federal$3,900,000
Wells Fargo Insurance Serviceswage and hour violation2015private lawsuit-federal$2,000,000
Wells Fargo Bankwage and hour violation2015private lawsuit-federal$1,850,000
Wells Fargowage and hour violation2014private lawsuit-federal$15,000,000
Wells Fargowage and hour violation2014private lawsuit-state$3,000,000
Wells Fargo Advisorswage and hour violation2013private lawsuit-federal$4,000,000
Wells Fargo Bankwage and hour violation2012private lawsuit-federal$280,000
Wells Fargowage and hour violation2011private lawsuit-federal$6,660,000
Wells Fargo Bankwage and hour violation2011private lawsuit-federal$100,000
Wells Fargowage and hour violation2011private lawsuit-federal$6,720,000
Wells Fargowage and hour violation2011private lawsuit-federal$6,900,000
Wachovia Financial Serviceswage and hour violation2010private lawsuit-federal$450,000
Wells Fargowage and hour violation2010private lawsuit-federal$20,000,000
Wachovia Securitieswage and hour violation2009private lawsuit-federal$39,000,000
A.G. Edwardswage and hour violation2009private lawsuit-federal$12,000,000
A.G. Edwardswage and hour violation2007private lawsuit-federal$20,000,000
Wells Fargowage and hour violation2007private lawsuit-federal$12,800,000
Wells Fargo Advisors, LLCwage and hour violation2018private lawsuit-federal$9,500,000
Wells Fargo Bank N.A.wage and hour violation2019WHD$57,675
Wells Fargo Bankwage and hour violation2016WHD$38,230
Wells Fargo & Companywage and hour violation2014WHD$100,001
Wells Fargo & Companywage and hour violation2020private lawsuit-federal$35,000,000
Wells Fargo Bankwage and hour violation2020private lawsuit-federal$10,928,870
Wells Fargo Bank, N.A.wage and hour violation2020private lawsuit-federal$25,696,122
Wells Fargo Bank, N.A.wage and hour violation2021private lawsuit-federal$95,696,122
Wells Fargotoxic securities abuses2012SEC$6,500,000
Wells Fargo Securities LLCtoxic securities abuses2011SEC$11,000,000
Wells Fargotoxic securities abuses2013FHFA$591,000,000
Wells Fargo Bank, National Associationtoxic securities abuses2013FHFA$869,000,000
Wachoviatoxic securities abuses2015NCUA$53,000,000
Wells Fargo Bank, N.A.toxic securities abuses2018DOJ_CIVIL$2,090,000,000
Wells Fargotoxic securities abuses2018IL-AG$17,250,000
Wells Fargo Bank N.A.Servicemembers Civil Relief Act2016DOJ_RIGHTS$4,100,000
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer ServicesServicemembers Civil Relief Act2017DOJ_RIGHTS$5,400,000
Wells Fargo Bank, National AssociationServicemembers Civil Relief Act2016OCC$20,000,000
Wells Fargo Bankprivacy violation2016CA-AG$8,500,000
Wells Fargo Bank, N.A.privacy violation2017private lawsuit-federal$30,446,022
Wells Fargo Bank, N.A.privacy violation2021private lawsuit-federal$28,000,000
Wachovia Bank N.A.price-fixing or anti-competitive practices2011DOJ_ANTITRUST$148,000,000
Wachovia Bank N.A.price-fixing or anti-competitive practices2011MULTI-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
Wells Fargo & Companymortgage abuses2012DOJ$5,342,200,000
Wells Fargo Bankmortgage abuses2012DOJ_RIGHTS$234,300,000
Wells Fargomortgage abuses2012MULTI-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 Fargomortgage abuses2010CA-AG$33,868,615
Wells Fargomortgage abuses2012MD-AG$940,056
Wells Fargo Bankmortgage abuses2015MA-AG$675,000
Wells Fargo Bankmortgage abuses2015MD-AG$13,800,000
First Union Banklabor relations violation2000NLRB$9,116
Wells Fargo Advisors LLCinvestor protection violation2014SEC$5,000,000
Evergreen Investment Management Company LLCinvestor protection violation2009SEC$40,000,000
Evergreen Investment Management Companyinvestor protection violation2007SEC$32,500,000
A.G. Edwards & Sons, Inc.investor protection violation2007SEC$3,860,000
A.G. Edwards & Sons, Inc.investor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCinvestor protection violation2006SEC$125,000
Wachovia Corporationinvestor protection violation2004SEC$37,000,000
Strong Capital Management, Inc.investor protection violation2004SEC$80,000,000
Wachovia Securities, LLCinvestor protection violation2004SEC$4,844,465
Prudential Securities, Inc.investor protection violation2003SEC$382,000
Prudential Securities Incorporatedinvestor protection violation2000SEC$5,880,000
Wells Fargo Bank N.A. Municipal Products Groupinvestor protection violation2016SEC$440,000
Wells Fargo Advisors LLCinvestor protection violation2018SEC$5,108,441
Strong Capital Management, Inc.investor protection violation2006SEC$2,185,927
Norwest Investment Services, Inc.investor protection violation2002SEC$153,245
Prudential Securities Incorporatedinvestor protection violation2001SEC$800,000
First Union Securities, Inc.investor protection violation2000SEC$408,931
Wells Fargo Securitiesinvestor protection violation2019SEC$812,500
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCinvestor protection violation2019SEC$17,363,847
A.G. Edwards & Sons, Inc.investor protection violation2008NJ-AG$387,000
Strong Capital Management Co.investor 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 LLCinvestor protection violation2006MULTI-AG$25,000,000
Wachovia Capital Markets, LLCinvestor protection violation2007MD-AG$402,386
Wachovia Securitiesinvestor protection violation2008MULTI-AG$60,000,000
Wachovia Securities, LLCinvestor protection violation2009DE-AG$309,000
Wachovia Securities, LLCinvestor protection violation2011NJ-AG$3,200,000
Wells Fargoinvestor protection violation2009CA-AG$1,400,000,000
Wells Fargo & Companyinvestor protection violation2018NY-AG$65,000,000
Wells Fargo Bank, N.A.investor protection violation2019CFTC$14,475,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Networkinvestor protection violation2020SEC$35,000,000
Wells Fargo & Co.investor 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, LLCinvestor protection violation2010AK-DBS$129,131
Wachovia Capital Markets, LLCinvestor protection violation2007CT-SEC$258,728
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCinvestor protection violation2010CT-SEC$75,000
Wells Fargo Advisors, LLCinvestor protection violation2017IL-SEC$270,000
Wells Fargo Advisors, LLCinvestor protection violation2010IN-SEC$8,495
Wells Fargo Clearing Services, LLCinvestor protection violation2019MA-SEC$450,000
Wachovia Securities, LLCinvestor protection violation2008MD-SEC$50,000
Wells Fargo Advisors LLCinvestor protection violation2012MD-SEC$50,000
A.G. Edwards & Sons, Inc.investor protection violation2011MO-SEC$765,993
A.G. Edwards & Sons, Inc.investor protection violation2017MO-SEC$25,672
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.