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 …
Jan 17, 2025 · 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 …
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 …
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 …
Wells Fargo, Merrill Lynch, LPL settle SEC charges - Yahoo Finance
Jan 21, 2025 · Two Wells Fargo-affiliated investment advisers and Merrill Lynch agreed to pay $60 million, while LPL Financial agreed to pay $18 million. ... The U.S. Securities and …
SEC Fines Wells, Merrill $60 Million Combined Over Cash Sweep ...
Jan 17, 2025 · The Securities and Exchange Commission fined Wells Fargo Advisors and Merrill Lynch a combined $60 million for failing to pay advisory customers a fair rate on cash sweeps, …
Wells Fargo firms, Merrill Lynch to pay $60 mln to settle SEC …
Jan 17, 2025 · Merrill Lynch and two Wells Fargo advisory firms have agreed to pay a combined $60 million in civil penalties to settle U.S. Securities and Exchange Commission charges over …
SEC Settles Charges Against Bank of America, Wells Fargo Units
Jan 17, 2025 · The SEC said the charges were settled against investment advisers Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network as well as Merrill Lynch, …
Wells Fargo overcharged nearly 11,000 investment accounts with …
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 …
Wells Fargo-SEC settlement on advisory fees underscores M&A …
Aug 25, 2023 · 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 …
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