Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Warburg Dillon Read LLC UBS investor protection violation 2000 SEC $6,680,000
Washington Federal Washington Federal Inc. consumer protection violation 2013 CFPB $34,000
Washington Federal Bank, N.A. Washington Federal Inc. consumer protection violation 2020 CFPB $200,000
Washington Mutual Bank JPMorgan Chase wage and hour violation 2011 private lawsuit-federal $463,000
Washington Mutual Bank JPMorgan Chase wage and hour violation 2009 private lawsuit-federal $38,000,000
Washington Mutual Inc. JPMorgan Chase benefit plan administrator violation 2010 private lawsuit-federal $49,000,000
Washington Mutual Pension Plan JPMorgan Chase benefit plan administrator violation 2010 private lawsuit-federal $20,000,000
Washington Mutual, Inc. JPMorgan Chase wage and hour violation 2005 WHD $404,982
Washington National Insurance Co. CNO Financial insurance violation 2017 MN-FIN $140,000
Washington National Insurance Co. CNO Financial insurance violation 2012 MO-INS $150,000
Washington National Insurance Company CNO Financial insurance violation 2013 SD-INS $125,000
Washington National Insurance Company CNO Financial insurance violation 2018 WA-INS $7,500
Watson Wyatt & Co. Willis Towers Watson labor relations violation 2005 NLRB $91,000
Watson Wyatt & Company Willis Towers Watson False Claims Act and related 2005 USAO $689,828
Wausau Business Insurance Co. Liberty Mutual Insurance insurance violation 2008 KS-INS $15,622
WAUSAU BUSINESS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2001 FL-OFR $14,625
Wausau Business Insurance Company Liberty Mutual Insurance insurance violation 2010 TX-INS $5,000
Wausau Business Insurance Company Liberty Mutual Insurance insurance violation 2012 TX-INS $16,000
Wausau Business Insurance Company Liberty Mutual Insurance insurance violation 2012 TX-INS $12,000
Wausau Underwriters Insurance Co. Liberty Mutual Insurance insurance violation 2002 FL-OFR $53,000
WAUSAU UNDERWRITERS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2001 FL-OFR $26,325
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2012 TX-INS $5,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2013 TX-INS $8,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2015 TX-INS $8,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2017 TX-INS $40,000
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
Wegelin & Co Wegelin & Co tax violations 2013 DOJ_TAX $74,000,000
Wells Fargo Wells Fargo consumer protection violation 2015 CFPB $34,800,000
Wells Fargo Wells Fargo banking violation 2013 OCC $1,991,141,181
Wells Fargo Wells Fargo toxic securities abuses 2012 SEC $6,500,000
Wells Fargo Wells Fargo toxic securities abuses 2013 FHFA $591,000,000
Wells Fargo Wells Fargo employment discrimination 2015 OFCCP $14,000
Wells Fargo Wells Fargo wage and hour violation 2018 private lawsuit-state $27,500,000
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-state $13,000,000
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-federal $685,000
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-federal $3,900,000
Wells Fargo Wells Fargo wage and hour violation 2014 private lawsuit-federal $15,000,000
Wells Fargo Wells Fargo wage and hour violation 2014 private lawsuit-state $3,000,000
Wells Fargo Wells Fargo wage and hour violation 2011 private lawsuit-federal $6,660,000
Wells Fargo Wells Fargo wage and hour violation 2011 private lawsuit-federal $6,720,000
Wells Fargo Wells Fargo wage and hour violation 2011 private lawsuit-federal $6,900,000
Wells Fargo Wells Fargo wage and hour violation 2010 private lawsuit-federal $20,000,000
Wells Fargo Wells Fargo wage and hour violation 2007 private lawsuit-federal $12,800,000
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 Wells Fargo consumer protection violation 2016 CA-LACA $50,000,000
Wells Fargo Wells Fargo discriminatory practices (non-employment) 2012 private lawsuit-federal $7,500,000
Wells Fargo & Co. Wells Fargo investor protection violation 2020 SEC (*) $500,000,000
Wells Fargo & Co. Wells Fargo investor protection violation 2020 MD-AG $20,000,000
Wells Fargo & Co. Wells Fargo discriminatory practices (non-employment) 2019 private lawsuit-federal $10,000,000
Wells Fargo & Company Wells Fargo banking violation 2012 FED $87,000,000
Wells Fargo & Company Wells Fargo banking violation 2011 FED $85,000,000
Wells Fargo & Company Wells Fargo mortgage abuses 2012 DOJ $5,342,200,000
Wells Fargo & Company Wells Fargo Americans with Disabilities Act 2011 DOJ_RIGHTS $16,055,000
Wells Fargo & Company Wells Fargo employment discrimination 2014 EEOC $295,000
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2011 private lawsuit-federal $17,500,000
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2015 private lawsuit-federal $7,420,000
Wells Fargo & Company Wells Fargo investor protection violation 2018 NY-AG $65,000,000
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 & Company Wells Fargo benefit plan administrator violation 2020 private lawsuit-federal $79,000,000
Wells Fargo Advisors Wells Fargo wage and hour violation 2017 private lawsuit-federal $3,500,000
Wells Fargo Advisors Wells Fargo wage and hour violation 2013 private lawsuit-federal $4,000,000
Wells Fargo Advisors Wells Fargo employment discrimination 2011 private lawsuit-federal $32,000,000
Wells Fargo Advisors Wells Fargo employment discrimination 2017 private lawsuit-federal $35,500,000
WELLS FARGO ADVISORS Wells Fargo investor protection violation 2015 VA-SEC $205,000
Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2016 NH-BSR $35,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2014 SEC $5,000,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2018 SEC $5,108,441
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2012 MD-SEC $50,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2016 VT-FIN $300,000
Wells Fargo Advisors, LLC Wells Fargo anti-money-laundering deficiencies 2017 SEC $3,500,000
Wells Fargo Advisors, LLC Wells Fargo wage and hour violation 2018 private lawsuit-federal $9,500,000
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 Bank Wells Fargo mortgage abuses 2012 DOJ_RIGHTS $234,300,000
Wells Fargo Bank Wells Fargo consumer protection violation 2016 CFPB $4,010,000
Wells Fargo Bank Wells Fargo banking violation 2016 CFPB $100,000,000
Wells Fargo Bank Wells Fargo banking violation 2016 OCC $35,000,000
Wells Fargo Bank Wells Fargo economic sanction violation 2005 OFAC $42,833
Wells Fargo Bank Wells Fargo economic sanction violation 2003 OFAC $5,500
Wells Fargo Bank Wells Fargo Family and Medical Leave Act 2006 WHD $5,152
Wells Fargo Bank Wells Fargo wage and hour violation 2015 private lawsuit-federal $1,850,000
Wells Fargo Bank Wells Fargo wage and hour violation 2012 private lawsuit-federal $280,000
Wells Fargo Bank Wells Fargo wage and hour violation 2011 private lawsuit-federal $100,000
Wells Fargo Bank Wells Fargo employment screening violation 2016 private lawsuit-federal $12,000,000
Wells Fargo Bank Wells Fargo consumer protection violation 2011 CT-AG $741,465
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