Defendant Name: Wells Fargo Advisors, LLC

Defendant Type: Subsidiary of Public Company

Document Reference: 34-82054-s

Document Details

Legal Case Name In the Matter of Wells Fargo Advisors, LLC
Document Name SEC Charges Wells Fargo Advisors with Failing to Comply with Anti-Money Laundering Laws
Document Date 13-Nov-2017
Document Format Administrative Proceeding
File Number 3-18279
Allegation Type Broker Dealer
Document Summary The Commission stated that: "Wells Fargo Advisors, LLC, a registered broker-dealer located in St. Louis, Missouri, agreed to settle charges that it failed to file and timely file a number of Suspicious Activity Reports (SARs) between approximately March 2012 and June 2013."

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Censured

Related Documents:

34-82054 13-Nov-2017 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
According to the SEC, "These proceedings arise out of Wells Fargo Advisors' failure to file or timely file a number of Suspicious Activity Reports ("SARs") from approximately March 2012 through June 2013. "