Violation Tracker

Basic Search | Summaries | Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries 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. They 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 individual records list below.

Top 10 Current Parent Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,340,688,209	275
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)

Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
Wilmington Trust	M&T Bank	accounting fraud or deficiencies	2014	SEC	$18,500,000
Wilmington Savings Fund Society, Federal Savings Bank	WSFS Financial Corp.	banking violation	2019	OCC	$85,265
Wilmington Finance Inc.	OneMain Holdings	wage and hour violation	2008	private lawsuit-federal	$2,925,000
Willis Group Holdings Ltd.	Willis Towers Watson	consumer protection violation	2007	FL-AG	$2,600,000
Willis Group Holdings Ltd.	Willis Towers Watson	price-fixing or anti-competitive practices	2005	NY-AG	$50,000,000
Willis Group Holdings Ltd.	Willis Towers Watson	price-fixing or anti-competitive practices	2012	private lawsuit-federal	$3,727,272
Willis Group	Willis Towers Watson	employment discrimination	2011	private lawsuit-federal	$11,595,038
Willis Group	Willis Towers Watson	employment discrimination	2008	private lawsuit-federal	$12,757,949
Williams Power Company Inc.	JPMorgan Chase	data submission deficiencies	2006	DOJ_CRIMINAL	$50,000,000
William Penn Life Insurance Company of New York	Legal & General Group PLC	insurance violation	2020	NY-DFS	$110,000
William Penn Life Insurance Company	Legal & General Group PLC	insurance violation	2018	NY-DFS	$6,300,000
Wheelabrator Westchester, L.P.	Macquarie	labor relations violation	2005	NLRB	$13,000
WHEELABRATOR SOUTH BROWARD, INC.	Macquarie	environmental violation	2005	FL-DEP	$14,450
Wheelabrator South Broward, Inc.	Macquarie	environmental violation	2021	FL-DEP	$78,000
WHEELABRATOR SHASTA ENERGY CO.	Macquarie	workplace safety or health violation	2000	OSHA	$10,275
WHEELABRATOR SHASTA ENERGY CO, INC	Macquarie	workplace safety or health violation	2010	OSHA	$10,000
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator Millbury	Macquarie	environmental violation	2011	MA-AG	$7,500,000
WHEELABRATOR SAUGUS, INC.	Macquarie	workplace safety or health violation	2017	OSHA	$17,600
WHEELABRATOR RIDGE ENERGY, INC.	Macquarie	environmental violation	2004	FL-DEP	$19,000
Wheelabrator Putnam Incorporated	Macquarie	environmental violation	2003	CT-ENV	$33,500
Wheelabrator Portsmouth Inc.	Macquarie	environmental violation	2016	VA-ENV	$7,669
WHEELABRATOR PORTSMOUTH	Macquarie	workplace safety or health violation	2010	OSHA	$6,890
Wheelabrator Norwalk Energy Co. Inc.	Macquarie	environmental violation	2012	CA-SCAQMD	$8,900
Wheelabrator Norwalk Energy Co. Inc.	Macquarie	environmental violation	2009	CA-SCAQMD	$7,500
Wheelabrator Norwalk Energy Co. Inc.	Macquarie	environmental violation	2006	CA-SCAQMD	$9,000
WHEELABRATOR NORTH ANDOVER	Macquarie	workplace safety or health violation	2019	OSHA	$7,500
WHEELABRATOR MILLBURY INC.	Macquarie	workplace safety or health violation	2018	OSHA	$9,472
Wheelabrator Lisbon, Inc.	Macquarie	environmental violation	2013	CT-ENV	$9,350
WHEELABRATOR GLOUCESTER COMPANY, L.P.	Macquarie	environmental violation	2001	NJ-ENV	$10,400
WHEELABRATOR GLOUCESTER COMPANY, L.P.	Macquarie	environmental violation	2001	NJ-ENV	$11,200
WHEELABRATOR GLOUCESTER COMPANY, L.P.	Macquarie	environmental violation	2000	NJ-ENV	$11,600
WHEELABRATOR GLOUCESTER COMPANY L P	Macquarie	environmental violation	2017	NJ-ENV	$6,000
WHEELABRATOR GLOUCESTER COMPANY L P	Macquarie	environmental violation	2016	NJ-ENV	$12,900
WHEELABRATOR FRACKVILLE ENERGY	Macquarie	environmental violation	2012	PA-ENV	$27,400
Wheelabrator Falls Inc.	Macquarie	environmental violation	2005	PA-ENV	$106,849
WHEELABRATOR FALLS INC	Macquarie	environmental violation	2020	PA-ENV	$12,000
WHEELABRATOR FALLS INC	Macquarie	environmental violation	2006	PA-ENV	$21,079
WHEELABRATOR ENERGY COMPANY, INCORPORATED	Macquarie	workplace safety or health violation	2011	OSHA	$15,000
WHEELABRATOR CONCORD INC.	Macquarie	workplace safety or health violation	2019	OSHA	$7,100
Wheelabrator Claremont Company, L.P.	Macquarie	energy market violation	2018	FERC	$357,231
WHEELABRATOR BALTIMORE	Macquarie	environmental violation	2011	MD-ENV	$77,500
WHEELABRATOR BALTIMORE	Macquarie	environmental violation	2003	MD-ENV	$17,500
WFS Financial, Inc.	Wells Fargo	discriminatory practices (non-employment)	2004	private lawsuit-federal	$4,550,000
WEX Inc.	WEX Inc.	investor protection violation	2021	SEC	$350,000
WEX Bank and Higher One, Inc.	WEX Inc.	banking violation	2015	FDIC	$34,980,000
Westpac Banking Corporation	Westpac Banking	price-fixing or anti-competitive practices	2022	private lawsuit-federal	$25,000,000
Western Union International Services LLC	Western Union	consumer protection violation	2019	FL-OFR	$10,000
Western Union Financial Services, Inc.	Western Union	economic sanction violation	2019	OFAC	$401,697
Western Union Financial Services, Inc.	Western Union	anti-money-laundering deficiencies	2010	MULTI-AG	$94,000,000
Western Union Financial Services, Inc.	Western Union	consumer protection violation	2008	AZ-DIFI	$2,000,000
Western Union Financial Services, Inc.	Western Union	anti-money-laundering deficiencies	2002	NY-DFS	$8,000,000
Western Union Financial Services	Western Union	consumer protection violation	2005	MULTI-AG	$8,529,000
Western Union Company	Western Union	anti-money-laundering deficiencies	2017	DOJ_CRIMINAL	$586,000,000
Western Union Co.	Western Union	consumer protection violation	2017	MULTI-AG	$5,000,000
Western Union Co.	Western Union	consumer protection violation	2016	private lawsuit-federal	$133,000,000
Western Union Co.	Western Union	consumer protection violation	2000	private lawsuit-federal	$375,000,000
Western Union	Western Union	anti-money-laundering deficiencies	2018	NY-DFS	$60,000,000
WESTERN UNION	Western Union	workplace safety or health violation	2015	OSHA	$11,000
Western Sky Financial, LLC, WS Funding, LLC, CashCall, Inc., Delbert Services Corp.	CashCall Inc.	consumer protection violation	2015	MA-AG	$259,115
Western Sky Financial, LLC, CashCall, Inc.	CashCall Inc.	consumer protection violation	2017	GA-AG	$42,000,000
Western Sky Financial, LLC et al.	CashCall Inc.	consumer protection violation	2014	CO-AG	$565,000
Western Sky Financial, LLC et al.	CashCall Inc.	consumer protection violation	2013	NV-BKG	$50,000
Western Sky Financial, LLC and CashCall, Inc.	CashCall Inc.	consumer protection violation	2015	MI-AG	$24,700,000
Western Sky Financial, LLC and CashCall, Inc.	CashCall Inc.	consumer protection violation	2015	MI-FIN	$2,200,000
Western Sky Financial, LLC	CashCall Inc.	consumer protection violation	2014	NY-AG	$1,500,000
Western Sky Financial, LLC	CashCall Inc.	consumer protection violation	2012	OR-FIN	$17,500
Western Sky Financial, CashCall Inc. and WS Funding	CashCall Inc.	consumer protection violation	2016	AR-AG	$750,000
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp.	CashCall Inc.	consumer protection violation	2016	IN-AG	$1,000,000
Western Sky Financial LLC et al.	CashCall Inc.	consumer protection violation	2016	NC-BKG	$9,275,000
Western Asset Management Company	Franklin Resources	investor protection violation	2014	SEC	$19,400,000
Western Asset Management Company	Franklin Resources	benefit plan administrator violation	2014	EBSA	$21,000,000
Western Asset Management Co.	Franklin Resources	investor protection violation	2001	SEC	$50,000
Western and Southern Life Insurance Company	Western & Southern Financial Group	insurance violation	2005	MULTI-FIN	$2,400,000
Western & Southern Life	Western & Southern Financial Group	wage and hour violation	2021	MI-LEO	$20,000
Western & Southern Life	Western & Southern Financial Group	wage and hour violation	2021	MI-LEO	$7,000
WELLS FARGO SECURITIES, LLC.	Wells Fargo	workplace safety or health violation	2004	OSHA	$5,000
Wells Fargo Securities, LLC et al.	Wells Fargo	investor protection violation	2023	SEC	$125,000,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC	Wells Fargo	investor protection violation	2016	FINRA	$4,000,000
Wells Fargo Securities, LLC	Wells Fargo	investor protection violation	2014	FINRA	$4,000,000
Wells Fargo Securities, LLC	Wells Fargo	investor protection violation	2007	FINRA	$250,000
Wells Fargo Securities LLC	Wells Fargo	toxic securities abuses	2011	SEC	$11,000,000
Wells Fargo Securities	Wells Fargo	investor protection violation	2019	SEC	$812,500
Wells Fargo N.A.	Wells Fargo	consumer protection violation	2017	private lawsuit-federal	$50,000,000
Wells Fargo Merchant Services LLC	Wells Fargo	consumer protection violation	2021	private lawsuit-federal	$40,000,000
Wells Fargo Investments, LLC	Wells Fargo	investor protection violation	2009	MULTI-FIN	$1,900,000
Wells Fargo Investments, LLC	Wells Fargo	investor protection violation	2011	FINRA	$2,000,000
Wells Fargo Investments, LLC	Wells Fargo	investor protection violation	2009	FINRA	$275,000
Wells Fargo Investments, LLC	Wells Fargo	investor protection violation	2005	FINRA	$2,970,000
Wells Fargo Investments, LLC	Wells Fargo	investor protection violation	2004	FINRA	$150,000
Wells Fargo Investments	Wells Fargo	investor protection violation	2005	FINRA	$3,000,000
Wells Fargo Insurance Services	Wells Fargo	wage and hour violation	2015	private lawsuit-federal	$2,000,000
Wells Fargo Home Mortgage, Inc.	Wells Fargo	consumer protection violation	2003	CA-SCCDA	$25,000
Wells Fargo Home Mortgage Inc	Wells Fargo	wage and hour violation	2010	MI-LEO	$9,222
Wells Fargo Home Mortgage	Wells Fargo	discriminatory practices (non-employment)	2014	HUD	$5,000,000
Wells Fargo Fund Distributor, LLC	Wells Fargo	consumer protection violation	2014	CA-DFPI	$8,000
Wells Fargo Financial Texas, Inc.	Wells Fargo	employment discrimination	2003	EEOC	$110,000
Wells Fargo Financial Leasing, Inc.	Wells Fargo	consumer protection violation	2005	MULTI-AG	$10,000,000
Wells Fargo Financial California, Inc.	Wells Fargo	consumer protection violation	2005	CA-DFPI	$1,621,010
WELLS FARGO FINANCIAL BANK	Wells Fargo	banking violation	2009	FDIC	$125,000
Wells Fargo Financial Bank	Wells Fargo	consumer protection violation	2003	NY-AG	$33,500
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC	Wells Fargo	investor protection violation	2019	SEC	$17,363,847