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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$22,081,446,244
Number of records: 228
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$904,745,48560
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
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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Company sort iconPrimary Offense TypeYearAgencyPenalty Amount
Prudential Securities, Inc.investor protection violation2003SEC$382,000
Prudential Securities, Inc.investor protection violation2001FINRA$10,000
Prudential Securities, Inc.investor protection violation2000FINRA$100,000
Prudential Securities Incorporatedinvestor protection violation2000SEC$5,880,000
Prudential Securities Incorporatedinvestor protection violation2001SEC$800,000
Prudential Securities Incorporatedinvestor protection violation2001FINRA$20,000
Prudential Securitiesinvestor protection violation2008FINRA$1,050,000
Norwest Investment Services, Inc.investor protection violation2002SEC$153,245
First Union Securities, Inc.investor protection violation2000SEC$408,931
First Union Securities, Inc.investor protection violation2000FINRA$350,000
First Union Brokerage Services, Inc.investor protection violation2001FINRA$32,500
First Union Bankeconomic sanction violation2004OFAC$18,740
First Union Banklabor relations violation2000NLRB$9,116
Evergreen Investment Management Company LLCinvestor protection violation2009SEC$40,000,000
Evergreen Investment Management Companyinvestor protection violation2007SEC$32,500,000
A.G. Edwards and Sons Inc.economic sanction violation2008OFAC$122,358
A.G. Edwards & Sons, submission deficiencies2003CFTC$45,000
A.G. Edwards & Sons, Inc.investor protection violation2007SEC$3,860,000
A.G. Edwards & Sons, Inc.investor protection violation2006SEC$125,000
A.G. Edwards & Sons, Inc.investor protection violation2008NJ-AG$387,000
A.G. Edwards & Sons, Inc.investor protection violation2011MO-SEC$765,993
A.G. Edwards & Sons, Inc.investor protection violation2017MO-SEC$25,672
A.G. Edwards & Sons, Inc.investor protection violation2000FINRA$5,890,000
A.G. Edwards & Sons Inc.investor protection violation2003NE-DBF$20,000
A.G. Edwards & Sons Inc.investor protection violation2007SC-SEC$575,000
A.G. Edwards & Sons Inc.investor protection violation2008TX-SEC$5,000
A.G. Edwardswage and hour violation2009private lawsuit-federal$12,000,000
A.G. Edwardswage and hour violation2007private lawsuit-federal$20,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.