By Jaclyn Jaeger2014-10-16T15:30:00
2015-08-10T15:30:00Z By Jaclyn Jaeger
A former compliance officer of Wells Fargo Advisors who faced an enforcement action by the Securities and Exchange Commission last year for allegedly altering a document before it was provided to the SEC during an investigation has won dismissal of her case. “Wells Fargo clearly had much deeper and more ...
2015-02-06T09:30:00Z By CW Staff
Wells Fargo Advisors, with $1.4 trillion in client assets, has named Jim McHale as chief compliance officer. His appointment follows an administrative proceeding instituted by the Securities and Exchange Commission in October against Wells Fargo's former compliance officer for allegedly altering a document before it was provided to the SEC ...
2025-09-12T21:33:00Z By Oscar Gonzalez
AI chatbots are increasingly used by children and teens, prompting the FTC to order seven AI companies to explain how they monitor potential harms to minors.
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