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Bookmark or Share- SEC.gov | Wells Fargo and LPL Financial Charged for Submitting ...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 the SEC. Wells Fargo and LPL each agreed to pay a $900,000 civil penalty to resolve the SEC's charges.
- SEC Penalizes Wells Fargo, LPL Financial $900,000 Each for Inaccurate ...Wells Fargo and LPL Financial each agreed to pay $900,000 in civil penalties to settle charges of providing incomplete and inaccurate securities trading information, the U.S. Securities and ...
- Wells Fargo Advisors: Financial Advisors, Investing, RetirementWells Fargo Advisors provides a full range of financial advisory services, investments, brokerage services and online trading for your retirement goals.
- Wells Fargo and LPL to Pay $1.8M to Settle SEC Charges - ThinkAdvisorWells Fargo Clearing Services and LPL Financial have each agreed to pay a $900,000 penalty to resolve Securities and Exchange Commission civil charges that the firms failed to provide complete and ...
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