Defendant Name: Judy K. Wolf

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Judy K. Wolf
First Document Date 15-Oct-2014
Initial Filing Format Administrative Action
File Number 3-16195
Allegation Type Broker Dealer

Affiliations

Violations Alleged

Related Violations Alleged

Judy K. Wolf is alleged to have aided and abetted Wells Fargo Advisors, LLC's violation of Section 17(a) Exchange Act; Rule 17a-4(j) Exchange Act; Section 204(a) Advisers Act.
Judy K. Wolf is alleged to have caused Wells Fargo Advisors, LLC's violation of Section 17(a) Exchange Act; Rule 17a-4(j) Exchange Act; Section 204(a) Advisers Act.

Resolutions

First Resolution Date 05-Aug-2015

Related Documents:

34-73350 15-Oct-2014 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Notice of Hearing
id851ce 05-Aug-2015 Administrative Proceeding
Initial Decision
34-75969 23-Sep-2015 Administrative Proceeding
Notice that Initial Decision Has Become Final

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