Wells Fargo Bank | False Claims Act and related | 2008 | USAO | $4,046,786 |
Wachovia Securities, LLC | investor protection violation | 2008 | MD-SEC | $50,000 |
A.G. Edwards & Sons Inc. | investor protection violation | 2008 | TX-SEC | $5,000 |
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 |
Prudential Securities | investor protection violation | 2008 | FINRA | $1,050,000 |
Wachovia Bank | economic sanction violation | 2007 | OFAC | $11,000 |
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 | wage and hour violation | 2007 | private lawsuit-federal | $20,000,000 |
Wells Fargo | wage and hour violation | 2007 | private lawsuit-federal | $12,800,000 |
Wachovia Capital Markets, LLC | investor protection violation | 2007 | MD-AG | $402,386 |
Wachovia Capital Markets, LLC | investor protection violation | 2007 | CT-SEC | $258,728 |
Wachovia Securities LLC | investor protection violation | 2007 | ND-SEC | $75,000 |
A.G. Edwards & Sons Inc. | investor protection violation | 2007 | SC-SEC | $575,000 |
Wachovia Capital Markets LLC | investor protection violation | 2007 | MULTI-FIN | $24,650,000 |
Wachovia Capital Markets, LLC | investor protection violation | 2007 | FINRA | $300,000 |
Wells Fargo Securities, LLC | investor protection violation | 2007 | FINRA | $250,000 |
Wachovia Securities LLC | investor protection violation | 2007 | FINRA | $2,000,000 |
A.G. Edwards & Sons, Inc. | investor protection violation | 2006 | SEC | $125,000 |
Wachovia Capital Markets, LLC | investor protection violation | 2006 | SEC | $125,000 |
Wells Fargo Bank | Family and Medical Leave Act | 2006 | WHD | $5,152 |
Strong Capital Management, Inc. | investor protection violation | 2006 | SEC | $2,185,927 |
Wachovia Capital Markets LLC | investor protection violation | 2006 | MULTI-AG | $25,000,000 |
Wachovia Bank | economic sanction violation | 2005 | OFAC | $5,500 |
Wells Fargo Bank | economic sanction violation | 2005 | OFAC | $42,833 |
Wells Fargo Bank, National Association | banking violation | 2005 | OCC | $115,000 |
Wells Fargo Financial Leasing, Inc. | consumer protection violation | 2005 | MULTI-AG | $10,000,000 |
Wells Fargo Financial California, Inc. | consumer protection violation | 2005 | CA-DFPI | $1,621,010 |
Wells Fargo Investments | investor protection violation | 2005 | FINRA | $3,000,000 |
Wells Fargo Investments, LLC | investor protection violation | 2005 | FINRA | $2,970,000 |
Wells Fargo Bank, National Association | wage and hour violation | 2005 | CA-LCO | $6,572 |
First Union Bank | economic sanction violation | 2004 | OFAC | $18,740 |
Wachovia Bank | economic sanction violation | 2004 | OFAC | $11,000 |
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 |
Wells Fargo Bank, National Association | wage and hour violation | 2004 | WHD | $228,209 |
Wachovia Bank | wage and hour violation | 2004 | WHD | $5,798,744 |
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 |
Wells Fargo | consumer protection violation | 2004 | NY-AG | $2,900,000 |
Ragen Mackenzie Investment Services LLC | investor protection violation | 2004 | OR-FIN | $8,500 |
WFS Financial, Inc. | discriminatory practices (non-employment) | 2004 | private lawsuit-federal | $4,550,000 |
Wachovia Securities LLC | investor protection violation | 2004 | FINRA | $650,000 |
Wells Fargo Investments, LLC | investor protection violation | 2004 | FINRA | $150,000 |
Wachovia Securities, LLC. | investor protection violation | 2004 | FINRA | $39,486 |
WELLS FARGO SECURITIES, LLC. | workplace safety or health violation | 2004 | OSHA | $5,000 |
A.G. Edwards & Sons, Inc. | data submission deficiencies | 2003 | CFTC | $45,000 |
Wells Fargo Bank | economic sanction violation | 2003 | OFAC | $5,500 |
Prudential Securities, Inc. | investor protection violation | 2003 | SEC | $382,000 |
Wells Fargo Financial Bank | consumer protection violation | 2003 | NY-AG | $33,500 |
Wells Fargo Home Mortgage, Inc. | consumer protection violation | 2003 | CA-SCCDA | $25,000 |
Wells Fargo Financial Texas, Inc. | employment discrimination | 2003 | EEOC | $110,000 |
A.G. Edwards & Sons Inc. | investor protection violation | 2003 | NE-DBF | $20,000 |
Prudential Securities, Inc. | data submission deficiencies | 2002 | CFTC | $65,000 |
Norwest Investment Services, Inc. | investor protection violation | 2002 | SEC | $153,245 |
Prudential Securities Incorporated | investor protection violation | 2001 | SEC | $800,000 |
Prudential Securities Incorporated | investor protection violation | 2001 | FINRA | $20,000 |
Prudential Securities, Inc. | investor protection violation | 2001 | FINRA | $10,000 |
First Union Brokerage Services, Inc. | investor protection violation | 2001 | FINRA | $32,500 |
Prudential Securities Incorporated | investor protection violation | 2000 | SEC | $5,880,000 |
First Union Bank | labor relations violation | 2000 | NLRB | $9,116 |
Wachovia National Bank, N.A. | benefit plan administrator violation | 2000 | EBSA | $30,000,000 |
First Union Securities, Inc. | investor protection violation | 2000 | SEC | $408,931 |
First Union Securities, Inc. | investor protection violation | 2000 | FINRA | $350,000 |
A.G. Edwards & Sons, Inc. | investor protection violation | 2000 | FINRA | $5,890,000 |
Prudential Securities, Inc. | investor protection violation | 2000 | FINRA | $100,000 |