Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
Note: 
The totals here 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$13,547,438,962115
UBS$11,679,855,33361
Citigroup$8,176,245,73063
JPMorgan Chase$6,010,421,20671
Morgan Stanley$4,209,326,733141
Deutsche Bank$4,049,166,82840
Goldman Sachs$3,904,979,98440
Wells Fargo$2,487,362,73582
American International Group$1,623,560,00010
MF Global$1,324,000,0003


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 Parent Major Industry Year Agency Penalty Amount
Wells Fargo Investments, LLC Wells Fargo financial services 2009 MULTI-FIN $1,900,000
Wells Fargo Investments, LLC Wells Fargo financial services 2011 FINRA $2,000,000
Wells Fargo Investments, LLC Wells Fargo financial services 2009 FINRA $275,000
Wells Fargo Investments, LLC Wells Fargo financial services 2005 FINRA $2,970,000
Wells Fargo Investments, LLC Wells Fargo financial services 2004 FINRA $150,000
Wells Fargo Investments Wells Fargo financial services 2005 FINRA $3,000,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2019 SEC $17,363,847
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2020 FINRA $2,075,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2017 FINRA $3,400,000
Wells Fargo Clearing Services, LLC Wells Fargo financial services 2019 MA-SEC $450,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo financial services 2020 SEC $35,000,000
Wells Fargo Bank, N.A. Wells Fargo financial services 2019 CFTC $14,475,000
Wells Fargo Bank N.A. Municipal Products Group Wells Fargo financial services 2016 SEC $440,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC Wells Fargo financial services 2016 FINRA $1,500,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2015 FINRA $15,000,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2017 IL-SEC $270,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2010 IN-SEC $8,495
Wells Fargo Advisors, LLC Wells Fargo financial services 2013 FINRA $3,250,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2012 FINRA $1,931,488
Wells Fargo Advisors, LLC Wells Fargo financial services 2011 FINRA $1,000,000
Wells Fargo Advisors LLC Wells Fargo financial services 2014 SEC $5,000,000
Wells Fargo Advisors LLC Wells Fargo financial services 2018 SEC $5,108,441
Wells Fargo Advisors LLC Wells Fargo financial services 2012 MD-SEC $50,000
Wells Fargo Advisors LLC Wells Fargo financial services 2016 VT-FIN $300,000
Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2016 NH-BSR $35,000
WELLS FARGO ADVISORS Wells Fargo financial services 2015 VA-SEC $205,000
Wells Fargo & Company Wells Fargo financial services 2018 NY-AG $65,000,000
Wells Fargo & Co. Wells Fargo financial services 2020 SEC (*) $500,000,000
Wells Fargo & Co. Wells Fargo financial services 2020 MD-AG $20,000,000
Wells Fargo Wells Fargo financial services 2009 CA-AG $1,400,000,000
Wellington Sports Club, LLC   2019 MS-SEC $61,270
Wellington Sports Club LLC et al.   2018 OR-FIN $35,000
WellCare Health Plans, Inc. Centene healthcare services 2009 SEC $10,000,000
WellCare Health Plans Inc. Centene healthcare services 2010 MULTI-AG $200,000,000
Well Advantage   2012 SEC $14,245,266
Welhouse & Associates, Inc.   2015 SEC $769,059
Weldon LLC   2013 AZ-SEC $9,000
Weiss Research, Inc   2006 SEC $1,991,141
WEI Mortgage Corp.   2010 MD-SEC $25,000
Wedgewood Properties, LLC   2016 MI-SEC $5,000
Wedgewood Properties, LLC   2018 MI-SEC $60,000
Wedbush Securities Inc. Wedbush Securities financial services 2014 SEC $67,200
Wedbush Securities Inc. Wedbush Securities financial services 2018 SEC $1,304,197
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $250,000
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $8,100,000
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $1,852,540
Wedbush Securities Inc. Wedbush Securities financial services 2016 TN-SEC $30,000
Wedbush Securities Inc. Wedbush Securities financial services 2018 FINRA $1,500,000
Wedbush Securities Inc. Wedbush Securities financial services 2016 FINRA $675,000
Wedbush Securities Wedbush Securities financial services 2014 SEC $2,440,000
WebRotator, Inc.   2019 WA-FIN $65,000
Wealthfront Advisers LLC   2018 SEC $250,000
WealthForge Securities, LLC and WealthForge Holdings, Inc.   2020 VA-SEC $50,000
WealthCFO, LLC   2018 SEC $409,405
WealthCare, LLC   2016 MO-SEC $5,000
WealthBuilders.Name LLC   2019 IL-SEC $10,000
Wealth Matters, Inc.   2009 VA-SEC $5,000
Wealth Management of Kentucky Inc.   2020 KY-FIN $5,000
Wealth Management LLC   2010 SEC $1,471,002
Wealth Management Institute, Ltd.   2005 MD-SEC $13,406
Wealth Management Group, Inc.   2017 MI-SEC $5,000
Wealth Management and Marketing LLC   2010 MD-SEC $180,000
Wealth Investors LLC   2017 TN-SEC $5,000
Wealth Financial International, LLC   2011 MO-SEC $365,942
Wealth Enhancement & Preservation, LLC   2009 AZ-SEC $145,006
Wealth Creator Private Equity, LLC   2019 AZ-SEC $35,000
Wealth by Design, Inc. and Clinton D. Fraley Living Trust   2012 CO-SEC $365,252
WCO Holdings, LLC   2021 MO-SEC $100,000
WCM Investment Management   2005 IL-SEC $12,500
WCM Global Wealth, LLC   2015 CA-DFPI $5,000
WCM Financial Services and Equity Options, Inc.   2013 OR-FIN $30,000
WCAS Management Corporation?   2018 SEC $778,819
WCAS Management Corporation   2020 SEC $100,000
WBI Investments Inc.   2020 SEC $750,000
Wayne Player Productions, LLC   2014 NJ-BOS $1,169,229
Wattenberg 1 LLC et al.   2021 AZ-SEC $488,880
Watkins Development, LLC   2014 MS-SEC $680,131
Water Island Capital LLC   2015 SEC $50,000
Waste Management, Inc. Waste Management Inc. waste management and environmental services 2001 CT-AG $457,000,000
Washington Wealth Management, LLC   2016 SEC $50,000
WASHINGTON SQUARE SECURITIES   2002 VA-SEC $15,000
Warrior Fund LLC   2010 SEC $221,384
Warren Exploration, LLC   2007 AZ-SEC $122,000
Warren & Massey Asset Management Ltd., Inc.   2009 MO-SEC $16,430
Warner Financial Group Inc.   2013 TX-SEC $5,000
Warenhandelsgesellschaft Corinth, m.b.H.   2005 CFTC $25,000
Warburg Dillon Read LLC UBS financial services 2000 SEC $6,680,000
War Chest Capital Partners LLC   2015 SEC $351,818
War Chest Capital Partners   2013 SEC $327,569
WaMu Investments, Inc.   2008 FINRA $250,000
Walton Financial, LLC   2017 CO-SEC $150,000
Walsh Trading Inc.   2009 CFTC $50,000
WallStreet*E Financial Services, Inc.   2010 FL-OFR $162,500
Wall Street Underground, Inc.   2006 CFTC $9,500,000
Wall Street Radio, Inc. dba Winning on Wall Street   2016 CO-SEC $80,000
Wall Street Pirate Management, LLC   2017 CFTC $125,000
Wall Street Financial Group, Inc.   2001 FL-OFR $10,000
Wall Street Financial Group Inc.   2013 PA-BKG $100,000
Wall Street Capital Funding LLC   2011 SEC $300,000
Wall Street Access   2006 SEC $688,084
Wall Private Wealth LLC   2017 PA-BKG $10,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.