Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
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
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 & Co. Wells Fargo employment discrimination 2021 private lawsuit-federal $18,700,000
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
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 Wells Fargo privacy violation 2016 CA-AG $8,500,000
Wells Fargo Bank Wells Fargo False Claims Act and related 2008 USAO $4,046,786
Wells Fargo Bank Wells Fargo wage and hour violation 2016 WHD $38,230
Wells Fargo Bank Wells Fargo consumer protection violation 2015 NY-DFS $4,000,000
Wells Fargo Bank Wells Fargo wage and hour violation 2020 private lawsuit-federal $10,928,870
WELLS FARGO BANK #1692 Wells Fargo workplace safety or health violation 2013 OSHA $12,000
Wells Fargo Bank N.A. Wells Fargo Servicemembers Civil Relief Act 2016 DOJ_RIGHTS $4,100,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 OCC $500,000,000
Wells Fargo Bank N.A. Wells Fargo consumer protection violation 2018 CFPB $500,000,000
Wells Fargo Bank N.A. Wells Fargo benefit plan administrator violation 2014 private lawsuit-federal $62,500,000
Wells Fargo Bank N.A. Wells Fargo bankruptcy professional violation 2015 DOJ_UTP $81,600,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 MULTI-AG $575,000,000
Wells Fargo Bank N.A. Wells Fargo employment discrimination 2019 OFCCP $283,697
Wells Fargo Bank N.A. Wells Fargo wage and hour violation 2019 WHD $57,675
Wells Fargo Bank N.A. Wells Fargo discriminatory practices (non-employment) 2011 private lawsuit-state $3,520,000
Wells Fargo Bank N.A. Municipal Products Group Wells Fargo investor protection violation 2016 SEC $440,000
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services Wells Fargo Servicemembers Civil Relief Act 2017 DOJ_RIGHTS $5,400,000
Wells Fargo Bank NA Wells Fargo wage and hour violation 2011 WHD $31,770
Wells Fargo Bank, N. A. Wells Fargo Family and Medical Leave Act 2016 WHD $11,874
Wells Fargo Bank, N.A Wells Fargo economic sanction violation 2010 OFAC $67,500
Wells Fargo Bank, N.A. Wells Fargo banking violation 2016 OCC $70,000,000
Wells Fargo Bank, N.A. Wells Fargo data submission deficiencies 2016 CFTC $400,000
Wells Fargo Bank, N.A. Wells Fargo employment discrimination 2014 EEOC $290,000
Wells Fargo Bank, N.A. Wells Fargo toxic securities abuses 2018 DOJ_CIVIL $2,090,000,000
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 employment discrimination 2020 OFCCP $7,800,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)