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Tag: FINRA UIT Sweep

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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