Former Wells Fargo Compliance Officer Wins SEC Case
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 ...
Related articles
-
Article
The many compliance lessons of Wells Fargo
What should compliance officers take away from Wells Fargo employees secretly opening unauthorized deposit and credit card accounts for their customers? Joe Mont looks at the important lessons.
-
Blog
Wells Fargo to Pay $1.2 Billion for ‘Reckless’ Lending Practices
Wells Fargo & Company said this week in a securities filing that it would pay $1.2 billion to resolve certain civil claims relating to the company’s Federal Housing Administration lending activities. In a Form 8-K filing, Wells Fargo said it had reached an agreement in principle with the Justice Department, ...
-
WebcastOct 30 | Compliance Career Forum
A one-day virtual event exploring how the career path for compliance professionals is changing, and what compliance professionals should be doing now to assure career success and security for years to come.