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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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.

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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2019SEC$17,363,847
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2020FINRA$2,075,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2017FINRA$3,400,000
Wells Fargo Clearing Services, LLCWells Fargoinvestor protection violation2019MA-SEC$450,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023SEC$35,000,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023ME-SEC$5,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargoinvestor protection violation2020SEC$35,000,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2015OCC$4,000,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2011OCC$34,500,000
Wells Fargo Bank, National AssociationWells FargoFalse Claims Act and related2016DOJ_CIVIL$1,200,000,000
Wells Fargo Bank, National AssociationWells Fargotoxic securities abuses2013FHFA$869,000,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2009OCC$51,205
Wells Fargo Bank, National AssociationWells Fargobanking violation2005OCC$115,000
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2004WHD$228,209
Wells Fargo Bank, National AssociationWells Fargoconsumer protection violation2016OCC$20,000,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2021OCC$250,000,000
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2022CA-LCO$9,795
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2013CA-LCO$37,036
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2005CA-LCO$6,572
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2022CA-LCO$12,399
WELLS FARGO BANK, NAWells Fargoworkplace safety or health violation2017OSHA$9,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc.Wells Fargoinsurance violation2019CA-INS$5,345,816
Wells Fargo Bank, N.A.Wells Fargobanking violation2016OCC$70,000,000
Wells Fargo Bank, N.A.Wells Fargodata submission deficiencies2016CFTC$400,000
Wells Fargo Bank, N.A.Wells Fargoemployment discrimination2014EEOC$290,000
Wells Fargo Bank, N.A.Wells Fargotoxic securities abuses2018DOJ_CIVIL$2,090,000,000
Wells Fargo Bank, N.A.Wells Fargoinvestor protection violation2019CFTC$14,475,000
Wells Fargo Bank, N.A.Wells Fargoeconomic sanction violation2013OFAC$23,937
Wells Fargo Bank, N.A.Wells Fargoemployment discrimination2020OFCCP$7,800,000
Wells Fargo Bank, N.A.Wells Fargodiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2020private lawsuit-federal$25,696,122
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2017private lawsuit-federal$30,446,022
Wells Fargo Bank, N.A.Wells Fargobanking violation2021USAO$72,600,000
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2021private lawsuit-federal$28,000,000
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2021private lawsuit-federal$95,696,122
Wells Fargo Bank, N.A.Wells Fargoprice-fixing or anti-competitive practices2018private lawsuit-federal$8,750,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2022private lawsuit-federal$12,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2022private lawsuit-federal$21,864,673
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2021private lawsuit-federal$45,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2020private lawsuit-federal$18,500,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2019private lawsuit-federal$386,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2019private lawsuit-federal$30,000,000
Wells Fargo Bank, N.AWells Fargoeconomic sanction violation2010OFAC$67,500
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 BANK NAWells Fargowage and hour violation2022IL-DOL$18,049
WELLS FARGO BANK NAWells Fargowage and hour violation2022IL-DOL$18,049
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer ServicesWells Fargoconsumer protection violation2017DOJ_RIGHTS$5,400,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargoinvestor protection violation2016SEC$440,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2016DOJ_RIGHTS$4,100,000
Wells Fargo Bank N.A.Wells Fargobanking violation2018OCC$500,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2018CFPB$500,000,000
Wells Fargo Bank N.A.Wells Fargobenefit plan administrator violation2014private lawsuit-federal$62,500,000
Wells Fargo Bank N.A.Wells Fargobankruptcy professional violation2015DOJ_UTP$81,600,000
Wells Fargo Bank N.A.Wells Fargobanking violation2018MULTI-AG$575,000,000
Wells Fargo Bank N.A.Wells Fargoemployment discrimination2019OFCCP$283,697
Wells Fargo Bank N.A.Wells Fargowage and hour violation2019WHD$57,675
Wells Fargo Bank N.A.Wells Fargodiscriminatory practices (non-employment)2011private lawsuit-state$3,520,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2021private lawsuit-federal$6,945,095
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$750,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$880,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2016private lawsuit-federal$203,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2014private lawsuit-federal$140,500,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2012private lawsuit-federal$6,778,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2012private lawsuit-federal$3,190,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2011private lawsuit-federal$125,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2024private lawsuit-federal$81,700,000
Wells Fargo Bank N.A.Wells Fargowage and hour violation2024private lawsuit-federal$16,600,000
Wells Fargo Bank N.AWells Fargoworkplace whistleblower retaliation2017OSHA$5,400,000
WELLS FARGO BANK #1692Wells Fargoworkplace safety or health violation2013OSHA$12,000
Wells Fargo BankWells Fargomortgage abuses2012DOJ_RIGHTS$234,300,000
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
Wells Fargo BankWells Fargoeconomic sanction violation2005OFAC$42,833
Wells Fargo BankWells Fargoeconomic sanction violation2003OFAC$5,500
Wells Fargo BankWells FargoFamily and Medical Leave Act2006WHD$5,152
Wells Fargo BankWells Fargowage and hour violation2015private lawsuit-federal$1,850,000
Wells Fargo BankWells Fargowage and hour violation2012private lawsuit-federal$280,000
Wells Fargo BankWells Fargowage and hour violation2011private lawsuit-federal$100,000
Wells Fargo BankWells Fargoemployment screening violation2016private lawsuit-federal$12,000,000
Wells Fargo BankWells Fargoconsumer protection violation2011CT-AG$741,465
Wells Fargo BankWells Fargomortgage abuses2015MA-AG$675,000
Wells Fargo BankWells Fargomortgage abuses2015MD-AG$13,800,000
Wells Fargo BankWells Fargoprivacy violation2016CA-AG$8,500,000
Wells Fargo BankWells FargoFalse Claims Act and related2008USAO$4,046,786
Wells Fargo BankWells Fargowage and hour violation2016WHD$38,230
Wells Fargo BankWells Fargoconsumer protection violation2015NY-DFS$4,000,000
Wells Fargo BankWells Fargowage and hour violation2020private lawsuit-federal$10,928,870
Wells Fargo BankWells Fargodiscriminatory practices (non-employment)2021HUD$125,000
Wells Fargo BankWells Fargoconsumer protection violation2022CFPB$3,700,000,000
Wells Fargo and CompanyWells Fargobenefit plan administrator violation2022EBSA$145,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargoinvestor protection violation2016FINRA$1,500,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2015FINRA$15,000,000
Wells Fargo Advisors, LLCWells Fargoanti-money-laundering deficiencies2017SEC$3,500,000
Wells Fargo Advisors, LLCWells Fargowage and hour violation2018private lawsuit-federal$9,500,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2017IL-SEC$270,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010IN-SEC$8,495
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2013FINRA$3,250,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2012FINRA$1,931,488
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2011FINRA$1,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.