UPDATE 2-U.S. SEC orders Wells Fargo pay $35 mln for recommendations of high-risk products [Reuters]
Wells Fargo & Company (WFC)
Last wells fargo & company earnings: 4/14 07:46 am
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Source: Reuters
SEC orders Wells Fargo pay $35 million for recommendations of high-risk products WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission said on Thursday it ordered Wells Fargo & Co ( WFC.N ) to pay $35 million to settle charges it failed to adequately supervise investment advisers who were recommending high-risk products. Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network failed to supervise investment advisers who recommended single-inverse exchange-traded funds (ETFs). The advisers recommended the investments to customers with conservative or moderate risk tolerances, including senior citizens and retirees, the SEC said in a filing. The order comes just a week after Wells Fargo & Co agreed to a $3 billion deal with the regulator and the U.S. Department of Justice to resolve criminal charges over its fake-accounts scandal. Wells Fargo did not admit or deny the SEC’s findings from Thursday’s order. The $35 million will be distributed to certain peop
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Earnings
- 4/12/24 - Beat
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Sec Filings
- 4/23/24 - Form 8-K
- 4/23/24 - Form PX14A6G
- 4/23/24 - Form 424B2
- WFC's page on the SEC website