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
- Former: Executive Vice President at Wells Fargo (June 2007—July 2016)
Violations Alleged
•
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:
- Bar from acting as Director or Officer of a public company (of unspecified duration)
First Resolution Date
31-May-2023
Headline Total Penalty and Disgorgement
$4,906,950
