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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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 Advisors, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2015 FINRA $15,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC Wells Fargo investor protection violation 2016 FINRA $1,500,000
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 Wells Fargo discriminatory practices (non-employment) 2021 HUD $125,000
WELLS FARGO BANK #1692 Wells Fargo workplace safety or health violation 2013 OSHA $12,000
Wells Fargo Bank N.A Wells Fargo workplace whistleblower retaliation 2017 OSHA $5,400,000
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, 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 Bank, National Association Wells Fargo banking violation 2021 OCC $250,000,000
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 Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2020 FINRA $2,075,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2017 FINRA $3,400,000
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 Wells Fargo investor protection violation 2005 FINRA $3,000,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2009 MULTI-FIN $1,900,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2011 FINRA $2,000,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2009 FINRA $275,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2005 FINRA $2,970,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2004 FINRA $150,000
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 investor protection violation 2014 FINRA $4,000,000
Wells Fargo Securities, LLC Wells Fargo investor protection violation 2007 FINRA $250,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC Wells Fargo investor protection violation 2016 FINRA $4,000,000
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)