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
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, NA Wells Fargo workplace safety or health violation 2017 OSHA $9,000
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
WELLS FARGO SECURITIES, LLC. Wells Fargo workplace safety or health violation 2004 OSHA $5,000
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 Macquarie environmental violation 2011 MD-ENV $77,500
WHEELABRATOR BALTIMORE Macquarie environmental violation 2003 MD-ENV $17,500
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 FALLS INC Macquarie environmental violation 2020 PA-ENV $12,000
WHEELABRATOR FALLS INC Macquarie environmental violation 2006 PA-ENV $21,079
Wheelabrator Falls Inc. Macquarie environmental violation 2005 PA-ENV $106,849
WHEELABRATOR FRACKVILLE ENERGY Macquarie environmental violation 2012 PA-ENV $27,400
WHEELABRATOR GLOUCESTER COMPANY L P Macquarie environmental violation 2017 NJ-ENV $6,000
WHEELABRATOR GLOUCESTER COMPANY L P Macquarie environmental violation 2016 NJ-ENV $12,900
WHEELABRATOR GLOUCESTER COMPANY, L.P. Macquarie environmental violation 2001 NJ-ENV $10,400
WHEELABRATOR GLOUCESTER COMPANY, L.P. Macquarie environmental violation 2001 NJ-ENV $11,200
WHEELABRATOR GLOUCESTER COMPANY, L.P. Macquarie environmental violation 2000 NJ-ENV $11,600
Wheelabrator Lisbon, Inc. Macquarie environmental violation 2013 CT-ENV $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 PORTSMOUTH Macquarie workplace safety or health violation 2010 OSHA $6,890
Wheelabrator Portsmouth Inc. Macquarie environmental violation 2016 VA-ENV $7,669
Wheelabrator Putnam Incorporated Macquarie environmental violation 2003 CT-ENV $33,500
WHEELABRATOR RIDGE ENERGY, INC. Macquarie environmental violation 2004 FL-DEP $19,000
WHEELABRATOR SAUGUS, INC. Macquarie workplace safety or health violation 2017 OSHA $17,600
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator Millbury Macquarie environmental violation 2011 MA-AG $7,500,000
WHEELABRATOR SHASTA ENERGY CO, INC Macquarie workplace safety or health violation 2010 OSHA $10,000
WHEELABRATOR SHASTA ENERGY CO. Macquarie workplace safety or health violation 2000 OSHA $10,275
WHEELABRATOR SOUTH BROWARD, INC. Macquarie environmental violation 2005 FL-DEP $14,450
Wheelabrator Westchester, L.P. Macquarie labor relations violation 2005 NLRB $13,000
Williams Power Company Inc. JPMorgan Chase data submission deficiencies 2006 DOJ_CRIMINAL $50,000,000
Willis Group Willis Towers Watson employment discrimination 2011 private lawsuit-federal $11,595,038
Willis Group Willis Towers Watson employment discrimination 2008 private lawsuit-federal $12,757,949
Willis Group Holdings Ltd. Willis Towers Watson consumer protection violation 2007 FL-AG $2,600,000
Willis Group Holdings Ltd. Willis Towers Watson price-fixing or anti-competitive practices 2005 NY-AG $50,000,000
Wilmington Finance Inc. OneMain Holdings wage and hour violation 2008 private lawsuit-federal $2,925,000
Wilmington Savings Fund Society, Federal Savings Bank WSFS Financial Corp. banking violation 2019 OCC $85,265
Wilmington Trust M&T Bank accounting fraud or deficiencies 2014 SEC $18,500,000
Wilmington Trust Co. M&T Bank employment discrimination 2004 EEOC $70,000
Wilmington Trust Co. M&T Bank investor protection violation 2005 DE-SEC $50,000
Wilmington Trust Company M&T Bank investor protection violation 2004 SEC $125,000
Wilmington Trust Company M&T Bank investor protection violation 2007 SEC $100,000
Wilmington Trust Corp. M&T Bank benefit plan administrator violation 2014 private lawsuit-federal $3,000,000
Wilmington Trust Corporation M&T Bank employment discrimination 2018 EEOC $700,000
Wilmington Trust N.A. M&T Bank benefit plan administrator violation 2017 private lawsuit-federal $29,773,250
Wilmington Trust, N.A. M&T Bank benefit plan administrator violation 2020 EBSA $88,000,000
Wintrust Financial Corporation Wintrust Financial Corp. banking violation 2019 FED $1,012,500
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)