Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$339,976,074,213
Number of Records: 6,952
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 CompaniesTotal Penalty $Number of Records
Bank of America$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,879,318,334102
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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)
CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2018WA-INS$10,000
CONTINENTAL WESTERN INSURANCE COMPANYW.R. Berkleyinsurance violation2020WA-INS$10,000
Acadia Insurance Co.W.R. Berkleyinsurance violation2021TX-INS$8,250
Acadia Insurance CompanyW.R. Berkleyinsurance violation2022VT-FIN$100,000
W. R. BERKLEY CORPORATIONW.R. Berkleyworkplace safety or health violation2017OSHA$5,000
Washington FederalWashington Federal Inc.consumer protection violation2013CFPB$34,000
Washington Federal Bank, N.A.Washington Federal Inc.consumer protection violation2020CFPB$200,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$2,500,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$40,500
Wedbush SecuritiesWedbush Securitiesinvestor protection violation2014SEC$2,440,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2014SEC$67,200
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018SEC$1,304,197
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$250,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$8,100,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$1,852,540
Wedbush Securities Inc.Wedbush Securitiesinsurance violation2011CO-INS$14,300
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016TN-SEC$30,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018FINRA$1,500,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016FINRA$675,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2021SEC$1,207,000
Wedbush Morgan SecuritiesWedbush Securitiesenvironmental violation2006CA-SCAQMD$5,000
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2009KY-FIN$5,000
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2011MULTI-FIN$3,000,000
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$148,000,000
Wells FargoWells Fargoconsumer protection violation2015CFPB$34,800,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2015OCC$4,000,000
Wells FargoWells Fargobanking violation2013OCC$1,991,141,181
Wells Fargo Bank, National AssociationWells Fargobanking violation2011OCC$34,500,000
Wachovia Bank N.A.Wells Fargobanking violation2010OCC$50,000,000
Wells Fargo & CompanyWells Fargobanking violation2012FED$87,000,000
Wells Fargo & CompanyWells Fargobanking violation2011FED$85,000,000
Wachovia BankWells Fargoanti-money-laundering deficiencies2010FINCEN$110,000,000
Wells Fargo Bank, National AssociationWells FargoFalse Claims Act and related2016DOJ_CIVIL$1,200,000,000
Wells Fargo & CompanyWells Fargomortgage abuses2012DOJ$5,342,200,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2014SEC$5,000,000
Wells FargoWells Fargotoxic securities abuses2012SEC$6,500,000
Wells Fargo Securities LLCWells Fargotoxic securities abuses2011SEC$11,000,000
Wells FargoWells Fargotoxic securities abuses2013FHFA$591,000,000
Wells Fargo Bank, National AssociationWells Fargotoxic securities abuses2013FHFA$869,000,000
WachoviaWells Fargotoxic securities abuses2015NCUA$53,000,000
Wells Fargo BankWells Fargomortgage abuses2012DOJ_RIGHTS$234,300,000
Wells Fargo & CompanyWells FargoAmericans with Disabilities Act2011DOJ_RIGHTS$16,055,000
Wells Fargo Bank, N.A.Wells Fargobanking violation2016OCC$70,000,000
Wells Fargo BankWells Fargoconsumer protection violation2016CFPB$4,010,000
Wells Fargo BankWells Fargobanking violation2016CFPB$100,000,000
Wells Fargo BankWells Fargobanking violation2016OCC$35,000,000
A.G. Edwards & Sons, Inc.Wells Fargodata submission deficiencies2003CFTC$45,000
Prudential Securities, Inc.Wells Fargodata submission deficiencies2002CFTC$65,000
WELLS FARGO FINANCIAL BANKWells Fargobanking violation2009FDIC$125,000
A.G. Edwards and Sons Inc.Wells Fargoeconomic sanction violation2008OFAC$122,358
Wachovia BankWells Fargoeconomic sanction violation2007OFAC$11,000
Wachovia BankWells Fargoeconomic sanction violation2005OFAC$5,500
Wells Fargo BankWells Fargoeconomic sanction violation2005OFAC$42,833
First Union BankWells Fargoeconomic sanction violation2004OFAC$18,740
Wachovia BankWells Fargoeconomic sanction violation2004OFAC$11,000
Wells Fargo BankWells Fargoeconomic sanction violation2003OFAC$5,500
Wells Fargo Bank, National AssociationWells Fargobanking violation2009OCC$51,205
Wachovia Bank, National AssociationWells Fargobanking violation2008OCC$168,900,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2005OCC$115,000
Evergreen Investment Management Company LLCWells Fargoinvestor protection violation2009SEC$40,000,000
Evergreen Investment Management CompanyWells Fargoinvestor protection violation2007SEC$32,500,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2007SEC$3,860,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2006SEC$125,000
Wachovia CorporationWells Fargoinvestor protection violation2004SEC$37,000,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2004SEC$80,000,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2004SEC$4,844,465
Prudential Securities, Inc.Wells Fargoinvestor protection violation2003SEC$382,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2000SEC$5,880,000
Wells Fargo Bank, N.A.Wells Fargodata submission deficiencies2016CFTC$400,000
Wells Fargo Bank N.A.Wells FargoServicemembers Civil Relief Act2016DOJ_RIGHTS$4,100,000
Wells Fargo Home MortgageWells Fargodiscriminatory practices (non-employment)2014HUD$5,000,000
Wells Fargo Bank, N.A.Wells Fargoemployment discrimination2014EEOC$290,000
Wells Fargo & CompanyWells Fargoemployment discrimination2014EEOC$295,000
Wells FargoWells Fargoemployment discrimination2015OFCCP$14,000
Wells Fargo Bank, N. A.Wells FargoFamily and Medical Leave Act2016WHD$11,874
Wells Fargo Bank NAWells Fargowage and hour violation2011WHD$31,770
Wells Fargo BankWells FargoFamily and Medical Leave Act2006WHD$5,152
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2004WHD$228,209
Wachovia BankWells Fargowage and hour violation2004WHD$5,798,744
First Union BankWells Fargolabor relations violation2000NLRB$9,116
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer ServicesWells FargoServicemembers Civil Relief Act2017DOJ_RIGHTS$5,400,000
Wachovia Bank N.A.Wells Fargoanti-money-laundering deficiencies2010USAO$50,000,000
Wells Fargo Advisors, LLCWells Fargoanti-money-laundering deficiencies2017SEC$3,500,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargoinvestor protection violation2016SEC$440,000
Wells Fargo Bank, National AssociationWells FargoServicemembers Civil Relief Act2016OCC$20,000,000
Wells Fargo Bank N.A.Wells Fargobanking violation2018OCC$500,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2018CFPB$500,000,000
Wells FargoWells Fargowage and hour violation2018private lawsuit-state$27,500,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-state$13,000,000
Wells Fargo AdvisorsWells Fargowage and hour violation2017private lawsuit-federal$3,500,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-federal$685,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-federal$3,900,000
Wells Fargo Insurance ServicesWells Fargowage and hour violation2015private lawsuit-federal$2,000,000
Wells Fargo BankWells Fargowage and hour violation2015private lawsuit-federal$1,850,000
Wells FargoWells Fargowage and hour violation2014private lawsuit-federal$15,000,000
Wells FargoWells Fargowage and hour violation2014private lawsuit-state$3,000,000
Wells Fargo AdvisorsWells Fargowage and hour violation2013private lawsuit-federal$4,000,000
Wells Fargo BankWells Fargowage and hour violation2012private lawsuit-federal$280,000
Wells FargoWells Fargowage and hour violation2011private lawsuit-federal$6,660,000
Wells Fargo BankWells Fargowage and hour violation2011private lawsuit-federal$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.