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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Wells Fargo
Ownership Structure: publicly traded (ticker symbol WFC)
Headquartered in: California
Major Industry: financial services
Specific Industry: banking
Penalty total since 2000$21,881,892,841
Number of records: 222
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$10,402,453,489121
consumer-protection-related offenses$6,421,664,48436
competition-related offenses$3,148,000,0003
government-contracting-related offenses$1,204,046,7862
employment-related offenses$705,192,08254
Top 5 Primary Offense TypesPenalty TotalNumber of Records
mortgage abuses$5,625,783,6717
banking violation$4,023,432,38617
toxic securities abuses$3,637,750,0007
fraud$3,000,000,0001
investor protection violation$2,487,362,73582
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below 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. The totals 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 list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
A.G. Edwards & Sons, Inc.investor protection violation2017MO-SEC$25,672
Wells Fargo Home Mortgage, Inc.consumer protection violation2003CA-SCCDA$25,000
Wells Fargo Bank, N.A.economic sanction violation2013OFAC$23,937
A.G. Edwards & Sons Inc.investor protection violation2003NE-DBF$20,000
Prudential Securities Incorporatedinvestor protection violation2001FINRA$20,000
First Union Bankeconomic sanction violation2004OFAC$18,740
Wells Fargoemployment discrimination2015OFCCP$14,000
WELLS FARGO BANK #1692workplace safety or health violation2013OSHA$12,000
Wells Fargo Bank, N. A.Family and Medical Leave Act2016WHD$11,874
Wachovia Bankeconomic sanction violation2007OFAC$11,000
Wachovia Bankeconomic sanction violation2004OFAC$11,000
Prudential Securities, Inc.investor protection violation2001FINRA$10,000
First Union Banklabor relations violation2000NLRB$9,116
WELLS FARGO BANK, NAworkplace safety or health violation2017OSHA$9,000
Ragen Mackenzie Investment Services LLCinvestor protection violation2004OR-FIN$8,500
Wells Fargo Advisors, LLCinvestor protection violation2010IN-SEC$8,495
Wells Fargo Fund Distributor, LLCconsumer protection violation2014CA-DFPI$8,000
Wachovia Bankeconomic sanction violation2005OFAC$5,500
Wells Fargo Bankeconomic sanction violation2003OFAC$5,500
Wells Fargo BankFamily and Medical Leave Act2006WHD$5,152
A.G. Edwards & Sons Inc.investor protection violation2008TX-SEC$5,000
WELLS FARGO SECURITIES, LLC.workplace safety or health violation2004OSHA$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.