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Tag: Wells Fargo fined

Wells Fargo to pay nearly $2.7 million for early UIT rollovers, featured by top securities fraud attorneys, the White Law Group 

Blog, Securities Fraud Articles

December 14, 2021

Wells Fargo to pay nearly $2.7 million for early UIT rollovers 

FINRA Sanctions Wells Fargo and four other BDs for excessive sales charges  According to The Financial Industry Regulatory...

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Wells Fargo to pay $1.4 M in Restitution for Failure to Supervise VA Switches, featured by top securities fraud attorneys, The White Law Group

Blog, Securities Fraud Articles

September 4, 2020

Wells Fargo to pay $1.4 M in Restitution

FINRA Sanctions Wells Fargo for Failure to Supervise VA Switches According to the Financial Industry Regulatory Authority (FINRA) on...

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Wells Fargo

Blog, Securities Fraud Articles

June 26, 2018

SEC Fines Wells Fargo Advisors $3 Million

Wells Fargo Charged with Misconduct with MLI sales According to a press announcement yesterday, the Securities and Exchange Commission...

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