SEC and Other Regulatory Filings - Investor Relations - Wells Fargo
View reports filed by Wells Fargo with the U.S. Securities and Exchange Commission.
SEC Charges Pair of Wells Fargo Advisory Firms and Merrill Lynch …
1 day ago · The firms agreed to settle the SEC’s charges and pay $60 million in total civil penalties. According to the SEC’s orders, Wells Fargo Advisors and Merrill Lynch offered bank deposit sweep programs (BDSPs) as the only cash sweep option for most advisory clients and received a significant financial benefit from advisory client cash in the BDSPs.
SEC.gov | Wells Fargo and LPL Financial Charged for Submitting ...
Dec 20, 2024 · The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services LLC and LPL Financial LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC.
Wells Fargo Settles with SEC for Charging Excessive Advisory Fees
Aug 25, 2023 · The Securities and Exchange Commission today charged Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network LLC (collectively, Wells Fargo) for overcharging more than 10,900 investment advisory accounts more …
Wells Fargo overcharged nearly 11,000 investment accounts with ... - CNN
Aug 25, 2023 · For years, Wells Fargo overcharged almost 11,000 investment advisory accounts about $27 million in fees, federal regulators alleged on Friday. The Securities and Exchange Commission said Wells...
Investor Relations - Wells Fargo
Wells Fargo has provided this link for your convenience, but does not endorse and is not responsible for the products, services, content, links, privacy policy, or security policy of this website. ... Potential investors in our securities should seek professional advice before they invest. QSR-11092025-6545352.1.7. LRC-0823. Related information ...
Wells Fargo and LPL to Pay $1.8M to Settle SEC Charges
Dec 20, 2024 · Each firm agreed to pay a $900,000 penalty for failing to provide complete and accurate trading information.
Wells Fargo-SEC settlement on advisory fees underscores M&A …
Wells Fargo is paying a $35 million fine and nearly $40 million in restitution to settle Securities and Exchange Commission allegations that its investment advice arm overcharged customers...
Wells Fargo firms, Merrill Lynch to pay $60 mln to settle SEC …
22 hours ago · The U.S. Securities and Exchange Commission (SEC) on Friday said a pair of Wells Fargo Advisory firms and Merrill Lynch have agreed to pay a combined $60 million in civil penalties to settle ...
Wells Fargo Faces SEC Investigation Over Cash Sweep Programs
Nov 1, 2023 · The Securities and Exchange Commission is investigating Wells Fargo & Company over cash sweep options provided to investment advisory clients, the company disclosed in a filing on Tuesday.
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