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Wells Fargo Clearing Services, LLC

Date:

June 13, 2022

Type of alert:

SEC Cease-and-Desist  

The SEC ordered Cease-and-Desist proceedings against Wells Fargo Clearing Services, LLC. The respondent submitted an Offer of Settlement that the SEC has determined to accept. Wells Fargo Clearing Services allegedly failed to file timely suspicious activity reports and is ordered to pay a civil penalty.

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