Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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 Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
Wegelin & Co Wegelin & Co tax violations 2013 DOJ_TAX $74,000,000
Mortgage Access Corp. dba Weichert Financial Services Weichert Financial Services consumer protection violation 2009 KY-FIN $5,000
Mortgage Access Corp. dba Weichert Financial Services Weichert Financial Services consumer protection violation 2011 MULTI-FIN $3,000,000
Wachovia Bank N.A. Wells Fargo price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $148,000,000
Wells Fargo Wells Fargo consumer protection violation 2015 CFPB $34,800,000
Wells Fargo Bank, National Association Wells Fargo banking violation 2015 OCC $4,000,000
Wells Fargo Wells Fargo banking violation 2013 OCC $1,991,141,181
Wells Fargo Bank, National Association Wells Fargo banking violation 2011 OCC $34,500,000
Wachovia Bank N.A. Wells Fargo banking violation 2010 OCC $50,000,000
Wells Fargo & Company Wells Fargo banking violation 2012 FED $87,000,000
Wells Fargo & Company Wells Fargo banking violation 2011 FED $85,000,000
Wachovia Bank Wells Fargo anti-money-laundering deficiencies 2010 FINCEN $110,000,000
Wells Fargo Bank, National Association Wells Fargo False Claims Act and related 2016 DOJ_CIVIL $1,200,000,000
Wells Fargo & Company Wells Fargo mortgage abuses 2012 DOJ $5,342,200,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2014 SEC $5,000,000
Wells Fargo Wells Fargo toxic securities abuses 2012 SEC $6,500,000
Wells Fargo Securities LLC Wells Fargo toxic securities abuses 2011 SEC $11,000,000
Wells Fargo Wells Fargo toxic securities abuses 2013 FHFA $591,000,000
Wells Fargo Bank, National Association Wells Fargo toxic securities abuses 2013 FHFA $869,000,000
Wachovia Wells Fargo toxic securities abuses 2015 NCUA $53,000,000
Wells Fargo Bank Wells Fargo mortgage abuses 2012 DOJ_RIGHTS $234,300,000
Wells Fargo & Company Wells Fargo Americans with Disabilities Act 2011 DOJ_RIGHTS $16,055,000
Wells Fargo Bank, N.A. Wells Fargo banking violation 2016 OCC $70,000,000
Wells Fargo Bank Wells Fargo consumer protection violation 2016 CFPB $4,010,000
Wells Fargo Bank Wells Fargo banking violation 2016 CFPB $100,000,000
Wells Fargo Bank Wells Fargo banking violation 2016 OCC $35,000,000
A.G. Edwards & Sons, Inc. Wells Fargo data submission deficiencies 2003 CFTC $45,000
Prudential Securities, Inc. Wells Fargo data submission deficiencies 2002 CFTC $65,000
WELLS FARGO FINANCIAL BANK Wells Fargo banking violation 2009 FDIC $125,000
A.G. Edwards and Sons Inc. Wells Fargo economic sanction violation 2008 OFAC $122,358
Wachovia Bank Wells Fargo economic sanction violation 2007 OFAC $11,000
Wachovia Bank Wells Fargo economic sanction violation 2005 OFAC $5,500
Wells Fargo Bank Wells Fargo economic sanction violation 2005 OFAC $42,833
First Union Bank Wells Fargo economic sanction violation 2004 OFAC $18,740
Wachovia Bank Wells Fargo economic sanction violation 2004 OFAC $11,000
Wells Fargo Bank Wells Fargo economic sanction violation 2003 OFAC $5,500
Wells Fargo Bank, National Association Wells Fargo banking violation 2009 OCC $51,205
Wachovia Bank, National Association Wells Fargo banking violation 2008 OCC $168,900,000
Wells Fargo Bank, National Association Wells Fargo banking violation 2005 OCC $115,000
Evergreen Investment Management Company LLC Wells Fargo investor protection violation 2009 SEC $40,000,000
Evergreen Investment Management Company Wells Fargo investor protection violation 2007 SEC $32,500,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2007 SEC $3,860,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2006 SEC $125,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2006 SEC $125,000
Wachovia Corporation Wells Fargo investor protection violation 2004 SEC $37,000,000
Strong Capital Management, Inc. Wells Fargo investor protection violation 2004 SEC $80,000,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2004 SEC $4,844,465
Prudential Securities, Inc. Wells Fargo investor protection violation 2003 SEC $382,000
Prudential Securities Incorporated Wells Fargo investor protection violation 2000 SEC $5,880,000
Wells Fargo Bank, N.A. Wells Fargo data submission deficiencies 2016 CFTC $400,000
Wells Fargo Bank N.A. Wells Fargo Servicemembers Civil Relief Act 2016 DOJ_RIGHTS $4,100,000
Wells Fargo Home Mortgage Wells Fargo discriminatory practices (non-employment) 2014 HUD $5,000,000
Wells Fargo Bank, N.A. Wells Fargo employment discrimination 2014 EEOC $290,000
Wells Fargo & Company Wells Fargo employment discrimination 2014 EEOC $295,000
Wells Fargo Wells Fargo employment discrimination 2015 OFCCP $14,000
Wells Fargo Bank, N. A. Wells Fargo Family and Medical Leave Act 2016 WHD $11,874
Wells Fargo Bank NA Wells Fargo wage and hour violation 2011 WHD $31,770
Wells Fargo Bank Wells Fargo Family and Medical Leave Act 2006 WHD $5,152
Wells Fargo Bank, National Association Wells Fargo wage and hour violation 2004 WHD $228,209
Wachovia Bank Wells Fargo wage and hour violation 2004 WHD $5,798,744
First Union Bank Wells Fargo labor relations violation 2000 NLRB $9,116
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services Wells Fargo Servicemembers Civil Relief Act 2017 DOJ_RIGHTS $5,400,000
Wachovia Bank N.A. Wells Fargo anti-money-laundering deficiencies 2010 USAO $50,000,000
Wells Fargo Advisors, LLC Wells Fargo anti-money-laundering deficiencies 2017 SEC $3,500,000
Wells Fargo Bank N.A. Municipal Products Group Wells Fargo investor protection violation 2016 SEC $440,000
Wells Fargo Bank, National Association Wells Fargo Servicemembers Civil Relief Act 2016 OCC $20,000,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 OCC $500,000,000
Wells Fargo Bank N.A. Wells Fargo consumer protection violation 2018 CFPB $500,000,000
Wells Fargo Wells Fargo wage and hour violation 2018 private lawsuit-state $27,500,000
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-state $13,000,000
Wells Fargo Advisors Wells Fargo wage and hour violation 2017 private lawsuit-federal $3,500,000
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-federal $685,000
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-federal $3,900,000
Wells Fargo Insurance Services Wells Fargo wage and hour violation 2015 private lawsuit-federal $2,000,000
Wells Fargo Bank Wells Fargo wage and hour violation 2015 private lawsuit-federal $1,850,000
Wells Fargo Wells Fargo wage and hour violation 2014 private lawsuit-federal $15,000,000
Wells Fargo Wells Fargo wage and hour violation 2014 private lawsuit-state $3,000,000
Wells Fargo Advisors Wells Fargo wage and hour violation 2013 private lawsuit-federal $4,000,000
Wells Fargo Bank Wells Fargo wage and hour violation 2012 private lawsuit-federal $280,000
Wells Fargo Wells Fargo wage and hour violation 2011 private lawsuit-federal $6,660,000
Wells Fargo Bank Wells Fargo wage and hour violation 2011 private lawsuit-federal $100,000
Wells Fargo Wells Fargo wage and hour violation 2011 private lawsuit-federal $6,720,000
Wells Fargo Wells Fargo wage and hour violation 2011 private lawsuit-federal $6,900,000
Wachovia Financial Services Wells Fargo wage and hour violation 2010 private lawsuit-federal $450,000
Wells Fargo Wells Fargo wage and hour violation 2010 private lawsuit-federal $20,000,000
Wachovia Securities Wells Fargo wage and hour violation 2009 private lawsuit-federal $39,000,000
A.G. Edwards Wells Fargo wage and hour violation 2009 private lawsuit-federal $12,000,000
A.G. Edwards Wells Fargo wage and hour violation 2007 private lawsuit-federal $20,000,000
Wells Fargo Wells Fargo wage and hour violation 2007 private lawsuit-federal $12,800,000
Wells Fargo Bank, N.A. Wells Fargo toxic securities abuses 2018 DOJ_CIVIL $2,090,000,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2018 SEC $5,108,441
Wachovia National Bank, N.A. Wells Fargo benefit plan administrator violation 2000 EBSA $30,000,000
Strong Capital Management, Inc. Wells Fargo investor protection violation 2006 SEC $2,185,927
Wells Fargo Advisors Wells Fargo employment discrimination 2011 private lawsuit-federal $32,000,000
Wells Fargo Advisors Wells Fargo employment discrimination 2017 private lawsuit-federal $35,500,000
Norwest Investment Services, Inc. Wells Fargo investor protection violation 2002 SEC $153,245
Prudential Securities Incorporated Wells Fargo investor protection violation 2001 SEC $800,000
First Union Securities, Inc. Wells Fargo investor protection violation 2000 SEC $408,931
Wells Fargo Advisors, LLC Wells Fargo wage and hour violation 2018 private lawsuit-federal $9,500,000
Wells Fargo Bank N.A. Wells Fargo benefit plan administrator violation 2014 private lawsuit-federal $62,500,000
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2011 private lawsuit-federal $17,500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)