Wells Fargo and LPL Financial Charged for Submitting Deficient Trading Data to SEC
December 21, 2024
December 21, 2024
WASHINGTON, Dec. 21 -- The Securities and Exchange Commission issued the following news release on Dec. 20, 2024:
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Wells Fargo's penalty amount reflects that it self-reported its misconduct
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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 t . . .
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Wells Fargo's penalty amount reflects that it self-reported its misconduct
* * *
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 t . . .