Wells Fargo Advisors to pay $7 million fine in SEC money-laundering investigation [DailyFinance (AOL.com)]
Wells Fargo & Company (WFC)
Last wells fargo & company earnings: 4/14 07:46 am
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Source: DailyFinance
Wells Fargo Advisors, a subsidiary of banking giant Wells Fargo & Company, has agreed to pay $7 million to settle charges that it violated federal anti-money laundering statutes by failing to file suspicious activity reports, the U.S. Securities and Exchange Commission announced Friday.According to theaccusations outlined in an SEC releaseWells Fargo Advisors also failed to file at least nine other suspicious activity reports starting in April 2017 after it allegedly failed to appropriately process wire transfer data, the SEC said.“When SEC registrants like Wells Fargo Advisors fail to comply with their AML obligations, they put the investing public at risk because they deprive regulators of timely information about possible money laundering, terrorist financing, or other illegal money movements,” Gurbir S. Grewal, director of the SEC’s Division of Enforcement, said in a statement. “Through this enforcement action, we are not only holding Wells Fargo Advisors accountable, but also sen
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WFC
Earnings
- 1/12/24 - Miss
WFC
Sec Filings
- 3/26/24 - Form PX14A6G
- 3/25/24 - Form EFFECT
- 3/22/24 - Form 424B2
- WFC's page on the SEC website