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The Investor’s Watchdog

The Investor's Watchdog
Monday, February 17, 2020 FINRA Imposes $175,000 Fine to Wells Fargo Clearing Services for Failing to Supervise Registered Broker Excessively Trading Customer Accounts Author: Jason T. Albin

The Financial Industry Regulatory Authority (FINRA) Department of Enforcement recently approved a Letter of Acceptance, Waiver and Consent (AWC) to resolve allegations of securities industry violations it made against Wells Fargo Advisors, LLC (hereafter referred to as “Wells Fargo”; n/k/a Wells Fargo Clearing Services, LLC). According to the AWC approved by FINRA on January 29, […]