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Tag: Wells Fargo Advisors complaints

Wells Fargo Advisors Fined $175,000, featured by top Securities Fraud Attorneys, The White Law Group

Blog, Current Investigations, Securities Fraud Articles

February 10, 2020

Wells Fargo Advisors Fined $175,000 for Alleged Supervisory Issues

Wells Fargo Allegedly Fails to Supervise Rep Accused of Excessive Trading According to the public records on FINRA’s website on January...

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Wells Fargo Advisors

Blog, Securities Fraud Articles

November 14, 2017

Wells Fargo Advisors Fined $3.5 Million for Reporting Violations

SEC Fines Wells Fargo Advisors $3.5 Million for Reporting Violations The Securities and Exchange Commission imposed a $3.5 million penalty...

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