Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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 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 & 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 Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2020 FINRA $2,075,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2017 FINRA $3,400,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC Wells Fargo investor protection violation 2016 FINRA $4,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC Wells Fargo investor protection violation 2016 FINRA $1,500,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2015 FINRA $15,000,000
Wells Fargo Advisors and Wells Fargo Advisors Financial Network Wells Fargo anti-money-laundering deficiencies 2014 FINRA $1,500,000
Wells Fargo Securities, LLC Wells Fargo investor protection violation 2014 FINRA $4,000,000
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2013 FINRA $3,250,000
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2012 FINRA $1,931,488
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2011 FINRA $2,000,000
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2011 FINRA $1,000,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2009 FINRA $275,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2009 FINRA $1,400,000
Wachovia Securities, LLC and First Clearing, LLC Wells Fargo investor protection violation 2009 FINRA $1,100,000
Wachovia Securities Wells Fargo investor protection violation 2009 FINRA $4,500,000
Prudential Securities Wells Fargo investor protection violation 2008 FINRA $1,050,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 FINRA $300,000
Wells Fargo Securities, LLC Wells Fargo investor protection violation 2007 FINRA $250,000
Wachovia Securities LLC Wells Fargo investor protection violation 2007 FINRA $2,000,000
Wells Fargo Investments Wells Fargo investor protection violation 2005 FINRA $3,000,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2005 FINRA $2,970,000
Wachovia Securities LLC Wells Fargo investor protection violation 2004 FINRA $650,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)