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SEC Fines Wells Fargo Advisors $3.5 million

TedTed
in The Bullpen
FYI: Without admitting or denying the SEC's findings about its failure to submit timely reports of suspicious money movements, Wells Fargo Advisors has consented to a cease-and-desist order, a censure, and a civil penalty of $3.5 million.
Regards,
Ted
http://www.investmentnews.com/article/20171113/FREE/171119985/sec-fines-wells-fargo-advisors-3-5-million
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