FINRA imposes $125k fine on Wells Fargo Clearing Services
Wells Fargo Clearing Services, LLC has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
Wells Fargo Clearing Services
Wells Fargo Clearing Services to pay $400k fine for alleged violations of FINRA rules
Wells Fargo Clearing Services, LLC has agreed to pay a fine of $400,000 as a part of a settlement with FINRA.
FINRA fines Wells Fargo for inaccurate order receipt time reports
Wells Fargo Clearing Services failed to record an accurate order receipt time when registered representatives entered the order receipt time manually.
