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
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2011 private lawsuit-federal $17,500,000
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2015 private lawsuit-federal $7,420,000
Wachovia Corporation Wells Fargo benefit plan administrator violation 2011 private lawsuit-federal $12,350,000
Wachovia Securities Wells Fargo benefit plan administrator violation 2009 private lawsuit-federal $1,005,000
Wells Fargo Bank N.A. Wells Fargo bankruptcy professional violation 2015 DOJ_UTP $81,600,000
Wells Fargo Securities Wells Fargo investor protection violation 2019 SEC $812,500
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2019 SEC $17,363,847
Wells Fargo Bank Wells Fargo employment screening violation 2016 private lawsuit-federal $12,000,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2008 NJ-AG $387,000
Strong Capital Management Co. Wells Fargo investor protection violation 2004 MULTI-AG (*) $115,000,000
Wachovia Bank N.A. Wells Fargo price-fixing or anti-competitive practices 2011 MULTI-AG (*) $58,750,000
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2006 MULTI-AG $25,000,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 MD-AG $402,386
Wachovia Securities Wells Fargo investor protection violation 2008 MULTI-AG $60,000,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2009 DE-AG $309,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2011 NJ-AG $3,200,000
Wells Fargo Wells Fargo consumer protection violation 2010 MULTI-AG $23,700,000
Wells Fargo Wells Fargo mortgage abuses 2012 MULTI-AG (*) $1,005,233,716
Wells Fargo Wells Fargo mortgage abuses 2010 CA-AG $33,868,615
Wells Fargo Wells Fargo investor protection violation 2009 CA-AG $1,400,000,000
Wells Fargo Wells Fargo toxic securities abuses 2018 IL-AG $17,250,000
Wells Fargo Wells Fargo mortgage abuses 2012 MD-AG $940,056
Wells Fargo Wells Fargo consumer protection violation 2004 NY-AG $2,900,000
Wells Fargo Wells Fargo consumer protection violation 2016 WV-AG $8,000,000
Wells Fargo & Company Wells Fargo investor protection violation 2018 NY-AG $65,000,000
Wells Fargo Bank Wells Fargo consumer protection violation 2011 CT-AG $741,465
Wells Fargo Bank Wells Fargo mortgage abuses 2015 MA-AG $675,000
Wells Fargo Bank Wells Fargo mortgage abuses 2015 MD-AG $13,800,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 MULTI-AG $575,000,000
Wells Fargo Bank Wells Fargo privacy violation 2016 CA-AG $8,500,000
Wells Fargo Financial Bank Wells Fargo consumer protection violation 2003 NY-AG $33,500
Wells Fargo Financial Leasing, Inc. Wells Fargo consumer protection violation 2005 MULTI-AG $10,000,000
Wells Fargo Bank, N.A. Wells Fargo investor protection violation 2019 CFTC $14,475,000
Wells Fargo Bank, N.A. Wells Fargo economic sanction violation 2013 OFAC $23,937
Wells Fargo Bank, N.A Wells Fargo economic sanction violation 2010 OFAC $67,500
Wells Fargo Bank N.A. Wells Fargo employment discrimination 2019 OFCCP $283,697
Wells Fargo Wells Fargo consumer protection violation 2016 CA-LACA $50,000,000
Wells Fargo Home Mortgage, Inc. Wells Fargo consumer protection violation 2003 CA-SCCDA $25,000
Wells Fargo Financial Texas, Inc. Wells Fargo employment discrimination 2003 EEOC $110,000
Wells Fargo Bank Wells Fargo False Claims Act and related 2008 USAO $4,046,786
Wells Fargo Bank N.A. Wells Fargo wage and hour violation 2019 WHD $57,675
Wells Fargo Bank Wells Fargo wage and hour violation 2016 WHD $38,230
Wells Fargo & Company Wells Fargo wage and hour violation 2014 WHD $100,001
Wells Fargo & Company Wells Fargo wage and hour violation 2020 private lawsuit-federal $35,000,000
Wells Fargo & Company Wells Fargo fraud 2020 DOJ_CIVIL $3,000,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo investor protection violation 2020 SEC $35,000,000
Wells Fargo & Co. Wells Fargo investor protection violation 2020 SEC (*) $500,000,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2010 AK-DBS $129,131
Wells Fargo Financial California, Inc. Wells Fargo consumer protection violation 2005 CA-DFPI $1,621,010
Wells Fargo Fund Distributor, LLC Wells Fargo consumer protection violation 2014 CA-DFPI $8,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. Wells Fargo insurance violation 2019 CA-INS $5,345,816
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 CT-SEC $258,728
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2010 CT-SEC $75,000
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2017 IL-SEC $270,000
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2010 IN-SEC $8,495
Wells Fargo Clearing Services, LLC Wells Fargo investor protection violation 2019 MA-SEC $450,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2008 MD-SEC $50,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2012 MD-SEC $50,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2011 MO-SEC $765,993
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2017 MO-SEC $25,672
Wachovia Securities LLC Wells Fargo investor protection violation 2007 ND-SEC $75,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2003 NE-DBF $20,000
Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2016 NH-BSR $35,000
Wells Fargo Bank Wells Fargo consumer protection violation 2015 NY-DFS $4,000,000
Ragen Mackenzie Investment Services LLC Wells Fargo investor protection violation 2004 OR-FIN $8,500
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2007 SC-SEC $575,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2008 TX-SEC $5,000
WELLS FARGO ADVISORS Wells Fargo investor protection violation 2015 VA-SEC $205,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2016 VT-FIN $300,000
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2007 MULTI-FIN $24,650,000
Wachovia Securities LLC Wells Fargo investor protection violation 2008 MULTI-FIN (*) $50,000,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2009 MULTI-FIN $1,900,000
WELLS FARGO BANK #1692 Wells Fargo workplace safety or health violation 2013 OSHA $12,000
Wells Fargo & Co. Wells Fargo investor protection violation 2020 MD-AG $20,000,000
Wells Fargo Bank, N.A. Wells Fargo employment discrimination 2020 OFCCP $7,800,000
Wells Fargo & Co. Wells Fargo discriminatory practices (non-employment) 2019 private lawsuit-federal $10,000,000
Wells Fargo Wells Fargo discriminatory practices (non-employment) 2012 private lawsuit-federal $7,500,000
Wells Fargo Bank, N.A. Wells Fargo discriminatory practices (non-employment) 2012 private lawsuit-federal $7,500,000
Wells Fargo Bank N.A. Wells Fargo discriminatory practices (non-employment) 2011 private lawsuit-state $3,520,000
WFS Financial, Inc. Wells Fargo discriminatory practices (non-employment) 2004 private lawsuit-federal $4,550,000
Wells Fargo Bank Wells Fargo wage and hour violation 2020 private lawsuit-federal $10,928,870
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2020 private lawsuit-federal $79,000,000
Wells Fargo Bank, N.A. Wells Fargo wage and hour violation 2020 private lawsuit-federal $25,696,122
Wells Fargo Bank, N.A. Wells Fargo privacy violation 2017 private lawsuit-federal $30,446,022
Wells Fargo & Co. Wells Fargo employment discrimination 2021 private lawsuit-federal $18,700,000
WELLS FARGO SECURITIES, LLC. Wells Fargo workplace safety or health violation 2004 OSHA $5,000
WELLS FARGO BANK, NA Wells Fargo workplace safety or health violation 2017 OSHA $9,000
Gerber Life Insurance Company Western & Southern Financial Group wage and hour violation 2009 WHD $172,799
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2011 MD-INS $5,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2013 MD-INS $14,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2017 MD-INS $8,000
National Integrity Life Insurance Company Western & Southern Financial Group insurance violation 2018 NY-DFS $240,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2000 WA-INS $350,000
Western and Southern Life Insurance Company Western & Southern Financial Group insurance violation 2005 MULTI-FIN $2,400,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2020 NC-INS $3,635,665
Paymap Inc. Western Union consumer protection violation 2015 CFPB $38,400,000
Ruesch International, Inc. Western Union economic sanction violation 2004 OFAC $7,811
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
Western Union Financial Services, Inc. Western Union economic sanction violation 2019 OFAC $401,697
Western Union Co. Western Union consumer protection violation 2017 MULTI-AG $5,000,000
Western Union Financial Services Western Union consumer protection violation 2005 MULTI-AG $8,529,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)