Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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 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-DBO $1,621,010
Wells Fargo Fund Distributor, LLC Wells Fargo consumer protection violation 2014 CA-DBO $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
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
Wegelin & Co Wegelin & Co tax violations 2013 DOJ_TAX $74,000,000
Wedbush Securities Wedbush Securities investor protection violation 2014 SEC $2,440,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2014 SEC $67,200
Wedbush Securities Inc. Wedbush Securities investor protection violation 2018 SEC $1,304,197
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $250,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $8,100,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $1,852,540
Wedbush Securities Inc. Wedbush Securities insurance violation 2011 CO-INS $14,300
Wedbush Securities Inc. Wedbush Securities investor protection violation 2016 TN-SEC $30,000
Washington Federal Washington Federal Inc. consumer protection violation 2013 CFPB $34,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 SEC $50,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 NY-AG (*) $75,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2003 FL-OFR $8,800
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 MO-SEC $172,161
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2005 MT-SEC $25,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2016 NH-BSR $900,000
Waddell & Reed Inc. Waddell & Reed Financial Inc. investor protection violation 2008 OK-SEC $10,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2005 MULTI-FIN $18,000,000
W.R. Berkley Corp. W.R. Berkley insurance violation 2017 CA-INS $3,015,000
Admiral Risk Insurance Services, Inc. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
Admiral Insurance Co. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
Continental Western Insurance Co. W.R. Berkley insurance violation 2019 CT-INS $23,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2008 KS-INS $10,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2012 KS-INS $6,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2007 MO-INS $7,708
Continental Western Insurance Co. W.R. Berkley insurance violation 2014 MO-INS $12,000
Berkley National Insurance Company W.R. Berkley insurance violation 2016 TX-INS $8,000
CAROLINA CASUALTY INSURANCE CO W.R. Berkley insurance violation 2011 VA-INS $10,000
CAROLINA CASUALTY INSURANCE CO W.R. Berkley insurance violation 2012 VA-INS $5,000
ACADIA INSURANCE COMPANY ET AL W.R. Berkley insurance violation 2018 VA-INS $91,793
Acadia Insurance Company et al. W.R. Berkley insurance violation 2019 VA-INS $9,341
Berkley National Insurance Company W.R. Berkley insurance violation 2018 WA-INS $10,000
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2017 SEC $3,095,953
Voya Holdings Inc. Voya Financial investor protection violation 2018 SEC $3,600,000
ING Life Insurance and Annuity Co. Voya Financial benefit plan administrator violation 2013 EBSA $5,200,000
Voya Financial Advisors Inc. Voya Financial investor protection violation 2018 SEC $1,000,000
ING Life Insurance & Annuity Co. Voya Financial benefit plan administrator violation 2014 private lawsuit-federal $14,950,000
ING Groep N.V. Voya Financial benefit plan administrator violation 2013 private lawsuit-federal $3,500,000
ING Voya Financial investor protection violation 2006 MULTI-AG $33,000,000
ING Life Insurance and Annuity Company Voya Financial insurance violation 2013 MULTI-AG $10,700,000
ING USA Annuity and Life Insurance Co. Voya Financial insurance violation 2007 CO-INS $5,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial investor protection violation 2019 CT-SEC $1,015,000
Security Life of Denver Insurance Co. Voya Financial insurance violation 2016 FL-OFR $25,000
ING Financial Partners, Inc. Voya Financial investor protection violation 2008 IL-SEC $4,677,326
ING Financial Partners, Inc. Voya Financial investor protection violation 2012 MN-FIN $5,000
ING Life Insurance and Annuity Co. et al. Voya Financial insurance violation 2012 MN-FIN $200,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)