Defendant Name: Carrie L. Tolstedt

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Carrie L. Tolstedt
First Document Date 13-Nov-2020
Initial Filing Format Civil Proceeding
Case Number 20-cv-07987
Allegation Type Issuer Reporting and Disclosure
Federal District Court California, Northern District of California

Affiliations

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
Sec 17(a) (Not specified)

Related Violations Alleged

Carrie L. Tolstedt is alleged to have aided and abetted Wells Fargo & Co.'s violation of Rule 12b-20 of the Exchange Act.
Carrie L. Tolstedt is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Carrie L. Tolstedt is alleged to have aided and abetted Wells Fargo & Co.'s violation of Sec 13(a) of the Exchange Act.
Carrie L. Tolstedt is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Carrie L. Tolstedt is alleged to have aided and abetted Wells Fargo & Co.'s violation of Rule 13a-1 of the Exchange Act.
Carrie L. Tolstedt is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Carrie L. Tolstedt is alleged to have aided and abetted Wells Fargo & Co.'s violation of Rule 13a-13 of the Exchange Act.
Carrie L. Tolstedt is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Carrie L. Tolstedt is alleged to have aided and abetted Wells Fargo & Co.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Carrie L. Tolstedt is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.

Resolutions

Bars:
First Resolution Date 31-May-2023

Related Documents:

comp24964 13-Nov-2020 Complaint
Complaint
court_doc55_20-cv-07987 31-May-2023 Court Docket Document
Final Judgment

Related Actions:

In the Matter of Wells Fargo & Company
In the Matter of John G. Stumpf