Wells Fargo Bank, National Association

Financial crime

United States. Named in 23 sanctions listings.

Sanctions and listings23

Effective
9 Sep 2021
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Other Lending Deficiencies
Enterprise Governance / Internal Controls / General Risk Management
Noncompliance with Enforcement Action
Lending Issues
Compliance Risk Management
Internal Audit
Audit
Reference AA-ENF-2021-30apps.occ.gov
Effective
8 Dec 2011
Formal Agreement
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
FA
apps.occ.gov
Effective
15 Sep 2015
GLBA Agreement
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
GLBA
apps.occ.gov
Effective
13 Apr 2011
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
Reference AA-EC-11-19apps.occ.gov
Effective
20 Apr 2018
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Compliance Risk Management
Unfair or Deceptive (UDAP)
Consumer Law
Reference AA-EC-2018-16apps.occ.gov
Effective
8 May 2009
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Reference AA-EC-09-18apps.occ.gov
Effective
22 Feb 2012
Formal Agreement
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
FA
Lending Issues
Foreclosures
apps.occ.gov
Effective
15 Sep 2015
GLBA Agreement
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
GLBA
apps.occ.gov
Effective
20 Apr 2018
C&D or PC&D Requiring Restitution; Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D and REST
Insider Issues
Consumer Law
Unfair or Deceptive (UDAP)
Golden Parachutes
Compliance Risk Management
Compensation
Internal Audit
Audit
Reference AA-EC-2018-15apps.occ.gov
Effective
12 Sep 2024
Formal Agreement
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
FA
OFAC Compliance Issue
SAR/CTR Monitoring/Filing Issue
BSA/AML
BSA Violation Cited
BSA Internal Controls
BSA SAR Violation / 12 CFR 21.11 or 163.180
Customer/Enhanced Due Diligence (CDD/EDD)
BSA Independent Testing/Audit
BSA Risk Assessment
BSA Pillar Violation / 12 CFR 21.21(d)
Reference AA-ENF-2024-72apps.occ.gov
Effective
16 Jun 2015
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
Lending Issues
Foreclosures
Compliance Risk Management
Consumer Law
Reference AA-EC-11-19apps.occ.gov
Effective
27 Jun 2005
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Reference AA-EC-05-43apps.occ.gov
Effective
29 Sep 2016
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
SCRA/Military Lending Act
Consumer Law
Reference AA-EC-2016-68apps.occ.gov
Effective
29 Sep 2016
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
SCRA/Military Lending Act
Consumer Law
apps.occ.gov
Effective
19 Nov 2015
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
BSA/AML
BSA Violation Cited
BSA Internal Controls
Customer/Enhanced Due Diligence (CDD/EDD)
BSA Training
BSA Risk Assessment
BSA Pillar Violation / 12 CFR 21.21(d)
Reference AA-EC-2015-79apps.occ.gov
Effective
6 Sep 2016
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Insider Issues
Fraud/Forgery
Sales Practices
Enterprise Governance / Internal Controls / General Risk Management
Compensation
Reference AA-EC-2016-67apps.occ.gov
Effective
6 Sep 2016
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D); C&D or PC&D Requiring Restitution
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D and REST
Insider Issues
Fraud/Forgery
Sales Practices
Enterprise Governance / Internal Controls / General Risk Management
Compensation
Reference AA-EC-2016-66apps.occ.gov
Effective
8 Dec 2011
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Reference AA-EC-11-97apps.occ.gov
Effective
28 Feb 2013
C&D or PC&D Requiring Restitution; Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D and REST
Lending Issues
Foreclosures
Consumer Law
Reference AA-EC-11-19apps.occ.gov
Effective
24 May 2016
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Other Lending Deficiencies
Consumer Law
Noncompliance with Enforcement Action
Unsafe or Unsound Practices (Other)
Lending Issues
Reference AA-EC-2016-30apps.occ.gov
Effective
3 Jun 2015
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Unfair or Deceptive (UDAP)
Consumer Law
Reference AA-EC-2015-13apps.occ.gov
Effective
3 Jun 2015
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D); C&D or PC&D Requiring Restitution
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D and REST
Third Party Risk Management
Unfair or Deceptive (UDAP)
Consumer Law
Reference AA-EC-2015-06apps.occ.gov
Effective
9 Sep 2021
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
Other Lending Deficiencies
Enterprise Governance / Internal Controls / General Risk Management
Lending Issues
Compliance Risk Management
Internal Audit
Audit
Reference AA-ENF-2021-29apps.occ.gov

Identifiers2

Identifier	Number
Registration number	1
Registration number	1741

Other names4

Also known as4

Wells Fargo Bank, NaWells Fargo Bank, N.A.Wells Fargo Bank Arizona, National AssociationWells Fargo Bank

Addresses1

Sioux Falls, SD

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