Wells Fargo Home Mortgage Inc | wage and hour violation | 2010 | MI-LEO | $9,222 |
Wells Fargo Clearing Services LLC | investor protection violation | 2023 | ME-SEC | $5,000 |
Wachovia Securities, LLC | investor protection violation | 2008 | MD-SEC | $50,000 |
Wells Fargo Advisors LLC | investor protection violation | 2012 | MD-SEC | $50,000 |
Wachovia Capital Markets, LLC | investor protection violation | 2007 | MD-AG | $402,386 |
Wells Fargo | mortgage abuses | 2012 | MD-AG | $940,056 |
Wells Fargo Bank | mortgage abuses | 2015 | MD-AG | $13,800,000 |
Wells Fargo & Co. | investor protection violation | 2020 | MD-AG | $20,000,000 |
Wells Fargo Clearing Services, LLC | investor protection violation | 2019 | MA-SEC | $450,000 |
Wells Fargo Bank | mortgage abuses | 2015 | MA-AG | $675,000 |
Wells Fargo Advisors, LLC | investor protection violation | 2010 | IN-SEC | $8,495 |
Wells Fargo Advisors, LLC | investor protection violation | 2017 | IL-SEC | $270,000 |
WELLS FARGO BANK NA | wage and hour violation | 2022 | IL-DOL | $18,049 |
WELLS FARGO BANK NA | wage and hour violation | 2022 | IL-DOL | $18,049 |
Wells Fargo | toxic securities abuses | 2018 | IL-AG | $17,250,000 |
Wells Fargo Home Mortgage | discriminatory practices (non-employment) | 2014 | HUD | $5,000,000 |
Wells Fargo Bank | discriminatory practices (non-employment) | 2021 | HUD | $125,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | investor protection violation | 2020 | FINRA | $2,075,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | investor protection violation | 2017 | FINRA | $3,400,000 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | investor protection violation | 2016 | FINRA | $4,000,000 |
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC | investor protection violation | 2016 | FINRA | $1,500,000 |
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC | investor protection violation | 2015 | FINRA | $15,000,000 |
Wells Fargo Advisors and Wells Fargo Advisors Financial Network | anti-money-laundering deficiencies | 2014 | FINRA | $1,500,000 |
Wells Fargo Securities, LLC | investor protection violation | 2014 | FINRA | $4,000,000 |
Wells Fargo Advisors, LLC | investor protection violation | 2013 | FINRA | $3,250,000 |
Wells Fargo Advisors, LLC | investor protection violation | 2012 | FINRA | $1,931,488 |
Wells Fargo Investments, LLC | investor protection violation | 2011 | FINRA | $2,000,000 |
Wells Fargo Advisors, LLC | investor protection violation | 2011 | FINRA | $1,000,000 |
Wells Fargo Investments, LLC | investor protection violation | 2009 | FINRA | $275,000 |
Wachovia Securities, LLC | investor protection violation | 2009 | FINRA | $1,400,000 |
Wachovia Securities, LLC and First Clearing, LLC | investor protection violation | 2009 | FINRA | $1,100,000 |
Wachovia Securities | investor protection violation | 2009 | FINRA | $4,500,000 |
Prudential Securities | investor protection violation | 2008 | FINRA | $1,050,000 |
Wachovia Capital Markets, LLC | investor protection violation | 2007 | FINRA | $300,000 |
Wells Fargo Securities, LLC | investor protection violation | 2007 | FINRA | $250,000 |
Wachovia Securities LLC | investor protection violation | 2007 | FINRA | $2,000,000 |
Wells Fargo Investments | investor protection violation | 2005 | FINRA | $3,000,000 |
Wells Fargo Investments, LLC | investor protection violation | 2005 | FINRA | $2,970,000 |
Wachovia Securities LLC | investor protection violation | 2004 | FINRA | $650,000 |
Wells Fargo Investments, LLC | investor protection violation | 2004 | FINRA | $150,000 |
Wachovia Securities, LLC. | investor protection violation | 2004 | FINRA | $39,486 |
Prudential Securities Incorporated | investor protection violation | 2001 | FINRA | $20,000 |
Prudential Securities, Inc. | investor protection violation | 2001 | FINRA | $10,000 |
First Union Brokerage Services, Inc. | investor protection violation | 2001 | FINRA | $32,500 |
First Union Securities, Inc. | investor protection violation | 2000 | FINRA | $350,000 |
A.G. Edwards & Sons, Inc. | investor protection violation | 2000 | FINRA | $5,890,000 |
Prudential Securities, Inc. | investor protection violation | 2000 | FINRA | $100,000 |
Wachovia Bank | anti-money-laundering deficiencies | 2010 | FINCEN | $110,000,000 |
Wells Fargo | toxic securities abuses | 2013 | FHFA | $591,000,000 |
Wells Fargo Bank, National Association | toxic securities abuses | 2013 | FHFA | $869,000,000 |
Wells Fargo & Company | banking violation | 2012 | FED | $87,000,000 |
Wells Fargo & Company | banking violation | 2011 | FED | $85,000,000 |
Wells Fargo & Co. | banking violation | 2023 | FED | $67,762,500 |
WELLS FARGO FINANCIAL BANK | banking violation | 2009 | FDIC | $125,000 |
Wells Fargo Bank, N.A. | employment discrimination | 2014 | EEOC | $290,000 |
Wells Fargo & Company | employment discrimination | 2014 | EEOC | $295,000 |
Wells Fargo Financial Texas, Inc. | employment discrimination | 2003 | EEOC | $110,000 |
Wachovia National Bank, N.A. | benefit plan administrator violation | 2000 | EBSA | $30,000,000 |
Wells Fargo and Company | benefit plan administrator violation | 2022 | EBSA | $145,000,000 |
Wells Fargo Bank N.A. | bankruptcy professional violation | 2015 | DOJ_UTP | $81,600,000 |
Wells Fargo Bank | mortgage abuses | 2012 | DOJ_RIGHTS | $234,300,000 |
Wells Fargo & Company | Americans with Disabilities Act | 2011 | DOJ_RIGHTS | $16,055,000 |
Wells Fargo Bank N.A. | consumer protection violation | 2016 | DOJ_RIGHTS | $4,100,000 |
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services | consumer protection violation | 2017 | DOJ_RIGHTS | $5,400,000 |
Wells Fargo Bank, National Association | False Claims Act and related | 2016 | DOJ_CIVIL | $1,200,000,000 |
Wells Fargo Bank, N.A. | toxic securities abuses | 2018 | DOJ_CIVIL | $2,090,000,000 |
Wells Fargo & Company | fraud | 2020 | DOJ_CIVIL | $3,000,000,000 |
Wachovia Bank N.A. | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $148,000,000 |
Wells Fargo & Company | mortgage abuses | 2012 | DOJ | $5,342,200,000 |
Wachovia Securities, LLC | investor protection violation | 2009 | DE-AG | $309,000 |
Wachovia Capital Markets, LLC | investor protection violation | 2007 | CT-SEC | $258,728 |
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC | investor protection violation | 2010 | CT-SEC | $75,000 |
Wells Fargo Bank | consumer protection violation | 2011 | CT-AG | $741,465 |
A.G. Edwards & Sons, Inc. | data submission deficiencies | 2003 | CFTC | $45,000 |
Prudential Securities, Inc. | data submission deficiencies | 2002 | CFTC | $65,000 |
Wells Fargo Bank, N.A. | data submission deficiencies | 2016 | CFTC | $400,000 |
Wells Fargo Bank, N.A. | investor protection violation | 2019 | CFTC | $14,475,000 |
Wells Fargo | investor protection violation | 2023 | CFTC | $75,000,000 |
Wells Fargo | consumer protection violation | 2015 | CFPB | $34,800,000 |
Wells Fargo Bank | consumer protection violation | 2016 | CFPB | $4,010,000 |
Wells Fargo Bank | banking violation | 2016 | CFPB | $100,000,000 |
Wells Fargo Bank N.A. | consumer protection violation | 2018 | CFPB | $500,000,000 |
Wells Fargo Bank | consumer protection violation | 2022 | CFPB | $3,700,000,000 |
Wells Fargo Home Mortgage, Inc. | consumer protection violation | 2003 | CA-SCCDA | $25,000 |
Wells Fargo Bank, National Association | wage and hour violation | 2022 | CA-LCO | $9,795 |
Wells Fargo Bank, National Association | wage and hour violation | 2013 | CA-LCO | $37,036 |
Wells Fargo Bank, National Association | wage and hour violation | 2005 | CA-LCO | $6,572 |
Wells Fargo Bank, National Association | wage and hour violation | 2022 | CA-LCO | $12,399 |
Wells Fargo | consumer protection violation | 2016 | CA-LACA | $50,000,000 |
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. | insurance violation | 2019 | CA-INS | $5,345,816 |
Wells Fargo Financial California, Inc. | consumer protection violation | 2005 | CA-DFPI | $1,621,010 |
Wells Fargo Fund Distributor, LLC | consumer protection violation | 2014 | CA-DFPI | $8,000 |
Wells Fargo | mortgage abuses | 2010 | CA-AG | $33,868,615 |
Wells Fargo | investor protection violation | 2009 | CA-AG | $1,400,000,000 |
Wells Fargo Bank | privacy violation | 2016 | CA-AG | $8,500,000 |
Wachovia Securities, LLC | investor protection violation | 2010 | AK-DBS | $129,131 |
Wells Fargo | wage and hour violation | 2018 | private lawsuit-state | $27,500,000 |
Wells Fargo | wage and hour violation | 2017 | private lawsuit-state | $13,000,000 |
Wells Fargo Advisors | wage and hour violation | 2017 | private lawsuit-federal | $3,500,000 |
Wells Fargo | wage and hour violation | 2017 | private lawsuit-federal | $685,000 |
Wells Fargo | wage and hour violation | 2017 | private lawsuit-federal | $3,900,000 |