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
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
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 wage and hour violation 2020 private lawsuit-federal $25,696,122
Wells Fargo Bank, N.A. Wells Fargo privacy violation 2017 private lawsuit-federal $30,446,022
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. Wells Fargo insurance violation 2019 CA-INS $5,345,816
Wells Fargo Bank, National Association Wells Fargo banking violation 2015 OCC $4,000,000
Wells Fargo Bank, National Association Wells Fargo banking violation 2011 OCC $34,500,000
Wells Fargo Bank, National Association Wells Fargo False Claims Act and related 2016 DOJ_CIVIL $1,200,000,000
Wells Fargo Bank, National Association Wells Fargo toxic securities abuses 2013 FHFA $869,000,000
Wells Fargo Bank, National Association Wells Fargo banking violation 2009 OCC $51,205
Wells Fargo Bank, National Association Wells Fargo banking violation 2005 OCC $115,000
Wells Fargo Bank, National Association Wells Fargo wage and hour violation 2004 WHD $228,209
Wells Fargo Bank, National Association Wells Fargo Servicemembers Civil Relief Act 2016 OCC $20,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo investor protection violation 2020 SEC $35,000,000
Wells Fargo Clearing Services, LLC Wells Fargo investor protection violation 2019 MA-SEC $450,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2019 SEC $17,363,847
WELLS FARGO FINANCIAL BANK Wells Fargo banking violation 2009 FDIC $125,000
Wells Fargo Financial Bank Wells Fargo consumer protection violation 2003 NY-AG $33,500
Wells Fargo Financial California, Inc. Wells Fargo consumer protection violation 2005 CA-DFPI $1,621,010
Wells Fargo Financial Leasing, Inc. Wells Fargo consumer protection violation 2005 MULTI-AG $10,000,000
Wells Fargo Financial Texas, Inc. Wells Fargo employment discrimination 2003 EEOC $110,000
Wells Fargo Fund Distributor, LLC Wells Fargo consumer protection violation 2014 CA-DFPI $8,000
Wells Fargo Home Mortgage Wells Fargo discriminatory practices (non-employment) 2014 HUD $5,000,000
Wells Fargo Home Mortgage, Inc. Wells Fargo consumer protection violation 2003 CA-SCCDA $25,000
Wells Fargo Insurance Services Wells Fargo wage and hour violation 2015 private lawsuit-federal $2,000,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2009 MULTI-FIN $1,900,000
Wells Fargo Securities Wells Fargo investor protection violation 2019 SEC $812,500
Wells Fargo Securities LLC Wells Fargo toxic securities abuses 2011 SEC $11,000,000
Western and Southern Life Insurance Company Western & Southern Financial Group insurance violation 2005 MULTI-FIN $2,400,000
Western Asset Management Co. Franklin Resources investor protection violation 2001 SEC $50,000
Western Asset Management Company Franklin Resources investor protection violation 2014 SEC $19,400,000
Western Asset Management Company Franklin Resources benefit plan administrator violation 2014 EBSA $21,000,000
Western Sky Financial LLC et al. CashCall Inc. consumer protection violation 2016 NC-BKG $9,275,000
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp. CashCall Inc. consumer protection violation 2016 IN-AG $1,000,000
Western Sky Financial, CashCall Inc. and WS Funding CashCall Inc. consumer protection violation 2016 AR-AG $750,000
Western Sky Financial, LLC CashCall Inc. consumer protection violation 2014 NY-AG $1,500,000
Western Sky Financial, LLC CashCall Inc. consumer protection violation 2012 OR-FIN $17,500
Western Sky Financial, LLC and CashCall, Inc. CashCall Inc. consumer protection violation 2015 MI-AG $24,700,000
Western Sky Financial, LLC and CashCall, Inc. CashCall Inc. consumer protection violation 2015 MI-FIN $2,200,000
Western Sky Financial, LLC et al. CashCall Inc. consumer protection violation 2014 CO-AG $565,000
Western Sky Financial, LLC et al. CashCall Inc. consumer protection violation 2013 NV-BKG $50,000
Western Sky Financial, LLC, CashCall, Inc. CashCall Inc. consumer protection violation 2017 GA-AG $42,000,000
Western Sky Financial, LLC, WS Funding, LLC, CashCall, Inc., Delbert Services Corp. CashCall Inc. consumer protection violation 2015 MA-AG $259,115
Western Union Western Union anti-money-laundering deficiencies 2018 NY-DFS $60,000,000
WESTERN UNION Western Union workplace safety or health violation 2015 OSHA $11,000
Western Union Co. Western Union consumer protection violation 2017 MULTI-AG $5,000,000
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
Western Union Financial Services Western Union consumer protection violation 2005 MULTI-AG $8,529,000
Western Union Financial Services, Inc. Western Union economic sanction violation 2019 OFAC $401,697
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2010 MULTI-AG $94,000,000
Western Union Financial Services, Inc. Western Union consumer protection violation 2008 AZ-DFS $2,000,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2002 NY-DFS $8,000,000
Western Union International Services LLC Western Union consumer protection violation 2019 FL-OFR $10,000
WEX Bank and Higher One, Inc. WEX Inc. banking violation 2015 FDIC $34,980,000
WFS Financial, Inc. Wells Fargo discriminatory practices (non-employment) 2004 private lawsuit-federal $4,550,000
WHEELABRATOR BALTIMORE, LP Macquarie environmental violation 2003 EPA $17,500
WHEELABRATOR BALTIMORE, LP Macquarie environmental violation 2011 EPA $77,500
Wheelabrator Claremont Company, L.P. Macquarie energy market violation 2018 FERC $357,231
WHEELABRATOR CONCORD INC. Macquarie workplace safety or health violation 2019 OSHA $7,100
WHEELABRATOR ENERGY COMPANY, INCORPORATED Macquarie workplace safety or health violation 2011 OSHA $15,000
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2000 EPA $10,000
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2000 EPA $11,600
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2001 EPA $11,200
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2001 EPA $10,400
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2012 EPA $10,000
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2016 EPA $12,900
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2017 EPA $6,000
WHEELABRATOR HUDSON FALLS 36115N001300543 Macquarie environmental violation 2010 EPA $10,000
WHEELABRATOR LISBON INC. Macquarie environmental violation 2013 EPA $9,350
WHEELABRATOR MILLBURY INC. Macquarie workplace safety or health violation 2018 OSHA $9,472
WHEELABRATOR NORTH ANDOVER Macquarie workplace safety or health violation 2019 OSHA $7,500
WHEELABRATOR NORWALK ENERGY CO Macquarie environmental violation 2009 EPA $7,500
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)