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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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Ragen Mackenzie Investment Services LLCWells Fargoinvestor protection violation2004OR-FIN$8,500
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2007SC-SEC$575,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2008TX-SEC$5,000
WELLS FARGO ADVISORSWells Fargoinvestor protection violation2015VA-SEC$205,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2016VT-FIN$300,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2007MULTI-FIN$24,650,000
Wachovia Securities LLCWells Fargoinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009MULTI-FIN$1,900,000
Wells Fargo & Co.Wells Fargoinvestor protection violation2020MD-AG$20,000,000
Wells Fargo Bank, N.A.Wells Fargoemployment discrimination2020OFCCP$7,800,000
Wells Fargo & Co.Wells Fargodiscriminatory practices (non-employment)2019private lawsuit-federal$10,000,000
Wells FargoWells Fargodiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells Fargo Bank, N.A.Wells Fargodiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells Fargo Bank N.A.Wells Fargodiscriminatory practices (non-employment)2011private lawsuit-state$3,520,000
WFS Financial, Inc.Wells Fargodiscriminatory practices (non-employment)2004private lawsuit-federal$4,550,000
Wells Fargo BankWells Fargowage and hour violation2020private lawsuit-federal$10,928,870
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2020private lawsuit-federal$79,000,000
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 & Co.Wells Fargoemployment discrimination2021private lawsuit-federal$18,700,000
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 Securities, LLC and Wells Fargo Prime Services, LLCWells Fargoinvestor protection violation2016FINRA$4,000,000
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 and Wells Fargo Advisors Financial NetworkWells Fargoanti-money-laundering deficiencies2014FINRA$1,500,000
Wells Fargo Securities, LLCWells Fargoinvestor protection violation2014FINRA$4,000,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2013FINRA$3,250,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2012FINRA$1,931,488
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2011FINRA$2,000,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2011FINRA$1,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009FINRA$275,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009FINRA$1,400,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargoinvestor protection violation2009FINRA$1,100,000
Wachovia SecuritiesWells Fargoinvestor protection violation2009FINRA$4,500,000
Prudential SecuritiesWells Fargoinvestor protection violation2008FINRA$1,050,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007FINRA$300,000
Wells Fargo Securities, LLCWells Fargoinvestor protection violation2007FINRA$250,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007FINRA$2,000,000
Wells Fargo InvestmentsWells Fargoinvestor protection violation2005FINRA$3,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2005FINRA$2,970,000
Wachovia Securities LLCWells Fargoinvestor protection violation2004FINRA$650,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2004FINRA$150,000
Wachovia Securities, LLC.Wells Fargoinvestor protection violation2004FINRA$39,486
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001FINRA$20,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2001FINRA$10,000
First Union Brokerage Services, Inc.Wells Fargoinvestor protection violation2001FINRA$32,500
First Union Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$350,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2000FINRA$5,890,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$100,000
Wells Fargo BankWells Fargodiscriminatory practices (non-employment)2021HUD$125,000
Wells FargoWells Fargoworkplace whistleblower retaliation2017OSHA$577,500
Wells Fargo Bank N.AWells Fargoworkplace whistleblower retaliation2017OSHA$5,400,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2021OCC$250,000,000
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 AdvisorsWells Fargoanti-money-laundering deficiencies2022SEC$7,000,000
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 and CompanyWells Fargobenefit plan administrator violation2022EBSA$145,000,000
Wells FargoWells Fargoworkplace whistleblower retaliation2022OSHA$22,000,000
Wells Fargo & Co.Wells Fargobenefit plan administrator violation2022private lawsuit-federal$32,500,000
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2022CA-LCO$12,399
Wells Fargo BankWells Fargoconsumer protection violation2022CFPB$3,700,000,000
Wells FargoWells Fargoprice-fixing or anti-competitive practices2013private lawsuit-federal$35,000,000
Wells Fargo & CompanyWells Fargoprice-fixing or anti-competitive practices2022private lawsuit-federal$20,820,000
Wells Fargo Bank, N.A.Wells Fargoprice-fixing or anti-competitive practices2018private lawsuit-federal$8,750,000
Wells FargoWells FargoAmericans with Disabilities Act2023USAO$10,000
Wells Fargo & Co.Wells Fargobanking violation2023FED$67,762,500
Wells Fargo & Co.Wells Fargoeconomic sanction violation2023OFAC$30,000,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2019private lawsuit-federal$13,460,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2019private lawsuit-federal$55,000,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2018private lawsuit-federal$142,000,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2016private lawsuit-federal$25,750,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2013private lawsuit-federal$12,500,000
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 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 Merchant Services LLCWells Fargoconsumer protection violation2021private lawsuit-federal$40,000,000
Wells Fargo N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$50,000,000
Wells FargoWells Fargoinvestor protection violation2023CFTC$75,000,000
Wells Fargo Securities, LLC et al.Wells Fargoinvestor protection violation2023SEC$125,000,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023SEC$35,000,000
Wells Fargo Home Mortgage IncWells Fargowage and hour violation2010MI-LEO$9,222
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023ME-SEC$5,000
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.Wells Fargoconsumer protection violation2024private lawsuit-federal$81,700,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.