Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2009 | $4,500,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2007 | $2,000,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2004 | $650,000 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $1,400,000 |
Wachovia Securities, LLC and First Clearing, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $1,100,000 |
Wachovia Securities, LLC. | Wells Fargo | financial services | investor protection violation | 2004 | $39,486 |
Waddell & Reed, Inc. | Macquarie | financial services | investor protection violation | 2005 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000 |
WaMu Investments, Inc. | | | investor protection violation | 2008 | $250,000 |
Webull Financial LLC | | | investor protection violation | 2023 | $3,000,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2018 | $1,500,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2016 | $675,000 |
Wefunder Portal LLC | | | investor protection violation | 2022 | $1,400,000 |
Wells Fargo Advisors and Wells Fargo Advisors Financial Network | Wells Fargo | financial services | anti-money-laundering deficiencies | 2014 | $1,500,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2013 | $3,250,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2012 | $1,931,488 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2011 | $1,000,000 |
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2015 | $15,000,000 |
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC | Wells Fargo | financial services | investor protection violation | 2016 | $1,500,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2020 | $2,075,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2017 | $3,400,000 |
Wells Fargo Investments | Wells Fargo | financial services | investor protection violation | 2005 | $3,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2011 | $2,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $275,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2005 | $2,970,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2004 | $150,000 |
Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2014 | $4,000,000 |
Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2007 | $250,000 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | Wells Fargo | financial services | investor protection violation | 2016 | $4,000,000 |
Wells Investment Securities, Inc. | | | investor protection violation | 2011 | $300,000 |
Wells Investment Securities, Inc. | | | investor protection violation | 2003 | $150,000 |
Westpark Capital, Inc. | | | investor protection violation | 2010 | $400,000 |
Wheat First Securities Inc. | | | investor protection violation | 2000 | $7,730,000 |
Windsor Capital Advisors, Inc. | | | investor protection violation | 2001 | $20,000 |
WM Financial Services, Inc. | | | investor protection violation | 2004 | $350,000 |
WMA Securities, Inc. | | | investor protection violation | 2000 | $125,000 |
Worden Capital Management LLC | | | investor protection violation | 2020 | $1,550,000 |
Workman Securities Corp. | | | investor protection violation | 2011 | $700,000 |
World Group Securities, Inc. | Aegon | financial services | investor protection violation | 2004 | $150,000 |
World Trade Financial Corporation | | | anti-money-laundering deficiencies | 2013 | $250,000 |
Worldco LLC | | | investor protection violation | 2004 | $1,500,000 |
Worldco, LLC | | | investor protection violation | 2002 | $175,000 |
Yankee Financial Group, Inc. | | | investor protection violation | 2005 | $3,800,000 |
Zions Direct, Inc. | Zions Bancorporation | financial services | investor protection violation | 2010 | $225,000 |