Wells Fargo Bank N.A. | employment discrimination | 2019 | OFCCP | $283,697 |
Wells Fargo Financial Texas, Inc. | employment discrimination | 2003 | EEOC | $110,000 |
Wells Fargo Bank, N.A. | employment discrimination | 2020 | OFCCP | $7,800,000 |
Wells Fargo & Co. | employment discrimination | 2021 | private lawsuit-federal | $18,700,000 |
Wells Fargo Bank | employment screening violation | 2016 | private lawsuit-federal | $12,000,000 |
Wells Fargo Bank, National Association | False Claims Act and related | 2016 | DOJ_CIVIL | $1,200,000,000 |
Wells Fargo Bank | False Claims Act and related | 2008 | USAO | $4,046,786 |
Wells Fargo Bank, N. A. | Family and Medical Leave Act | 2016 | WHD | $11,874 |
Wells Fargo Bank | Family and Medical Leave Act | 2006 | WHD | $5,152 |
Wells Fargo & Company | fraud | 2020 | DOJ_CIVIL | $3,000,000,000 |
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. | insurance violation | 2019 | CA-INS | $5,345,816 |
Wells Fargo Advisors LLC | investor protection violation | 2014 | SEC | $5,000,000 |
Evergreen Investment Management Company LLC | investor protection violation | 2009 | SEC | $40,000,000 |
Evergreen Investment Management Company | investor protection violation | 2007 | SEC | $32,500,000 |
A.G. Edwards & Sons, Inc. | investor protection violation | 2007 | SEC | $3,860,000 |
A.G. Edwards & Sons, Inc. | investor protection violation | 2006 | SEC | $125,000 |
Wachovia Capital Markets, LLC | investor protection violation | 2006 | SEC | $125,000 |
Wachovia Corporation | investor protection violation | 2004 | SEC | $37,000,000 |
Strong Capital Management, Inc. | investor protection violation | 2004 | SEC | $80,000,000 |
Wachovia Securities, LLC | investor protection violation | 2004 | SEC | $4,844,465 |
Prudential Securities, Inc. | investor protection violation | 2003 | SEC | $382,000 |
Prudential Securities Incorporated | investor protection violation | 2000 | SEC | $5,880,000 |
Wells Fargo Bank N.A. Municipal Products Group | investor protection violation | 2016 | SEC | $440,000 |
Wells Fargo Advisors LLC | investor protection violation | 2018 | SEC | $5,108,441 |
Strong Capital Management, Inc. | investor protection violation | 2006 | SEC | $2,185,927 |
Norwest Investment Services, Inc. | investor protection violation | 2002 | SEC | $153,245 |
Prudential Securities Incorporated | investor protection violation | 2001 | SEC | $800,000 |
First Union Securities, Inc. | investor protection violation | 2000 | SEC | $408,931 |
Wells Fargo Securities | investor protection violation | 2019 | SEC | $812,500 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | investor protection violation | 2019 | SEC | $17,363,847 |
A.G. Edwards & Sons, Inc. | investor protection violation | 2008 | NJ-AG | $387,000 |
Strong Capital Management Co. | investor protection violation | 2004 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000 |
Wachovia Capital Markets LLC | investor protection violation | 2006 | MULTI-AG | $25,000,000 |
Wachovia Capital Markets, LLC | investor protection violation | 2007 | MD-AG | $402,386 |
Wachovia Securities | investor protection violation | 2008 | MULTI-AG | $60,000,000 |
Wachovia Securities, LLC | investor protection violation | 2009 | DE-AG | $309,000 |
Wachovia Securities, LLC | investor protection violation | 2011 | NJ-AG | $3,200,000 |
Wells Fargo | investor protection violation | 2009 | CA-AG | $1,400,000,000 |
Wells Fargo & Company | investor protection violation | 2018 | NY-AG | $65,000,000 |
Wells Fargo Bank, N.A. | investor protection violation | 2019 | CFTC | $14,475,000 |
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network | investor protection violation | 2020 | SEC | $35,000,000 |
Wells Fargo & Co. | investor protection violation | 2020 | SEC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000 |
Wachovia Securities, LLC | investor protection violation | 2010 | AK-DBS | $129,131 |
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 Advisors, LLC | investor protection violation | 2017 | IL-SEC | $270,000 |
Wells Fargo Advisors, LLC | investor protection violation | 2010 | IN-SEC | $8,495 |
Wells Fargo Clearing Services, LLC | investor protection violation | 2019 | MA-SEC | $450,000 |
Wachovia Securities, LLC | investor protection violation | 2008 | MD-SEC | $50,000 |
Wells Fargo Advisors LLC | investor protection violation | 2012 | MD-SEC | $50,000 |
A.G. Edwards & Sons, Inc. | investor protection violation | 2011 | MO-SEC | $765,993 |
A.G. Edwards & Sons, Inc. | investor protection violation | 2017 | MO-SEC | $25,672 |
Wachovia Securities LLC | investor protection violation | 2007 | ND-SEC | $75,000 |
A.G. Edwards & Sons Inc. | investor protection violation | 2003 | NE-DBF | $20,000 |
Wells Fargo Advisors Financial Network, LLC | investor protection violation | 2016 | NH-BSR | $35,000 |
Ragen Mackenzie Investment Services LLC | investor protection violation | 2004 | OR-FIN | $8,500 |
A.G. Edwards & Sons Inc. | investor protection violation | 2007 | SC-SEC | $575,000 |
A.G. Edwards & Sons Inc. | investor protection violation | 2008 | TX-SEC | $5,000 |
WELLS FARGO ADVISORS | investor protection violation | 2015 | VA-SEC | $205,000 |
Wells Fargo Advisors LLC | investor protection violation | 2016 | VT-FIN | $300,000 |
Wachovia Capital Markets LLC | investor protection violation | 2007 | MULTI-FIN | $24,650,000 |
Wachovia Securities LLC | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Wells Fargo Investments, LLC | investor protection violation | 2009 | MULTI-FIN | $1,900,000 |
Wells Fargo & Co. | investor protection violation | 2020 | MD-AG | $20,000,000 |
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 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 |
Wells Fargo | investor protection violation | 2023 | CFTC | $75,000,000 |
Wells Fargo Securities, LLC et al. | investor protection violation | 2023 | SEC | $125,000,000 |
Wells Fargo Clearing Services LLC | investor protection violation | 2023 | SEC | $35,000,000 |
Wells Fargo Clearing Services LLC | investor protection violation | 2023 | ME-SEC | $5,000 |
First Union Bank | labor relations violation | 2000 | NLRB | $9,116 |
Wells Fargo & Company | mortgage abuses | 2012 | DOJ | $5,342,200,000 |
Wells Fargo Bank | mortgage abuses | 2012 | DOJ_RIGHTS | $234,300,000 |
Wells Fargo | mortgage abuses | 2012 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,005,233,716 |