Defendant Name: Shawn Patrick McMurtry

Defendant Type: Individual

Document Reference: 34-81064_3-14982

Document Details

Legal Case Name In the Matter of Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
Document Name Notice of Name Change of Appointed Tax Administrator
Document Date 30-Jun-2017
Document Format Administrative Proceeding
File Number 3-14982
Allegation Type Municipal Securities & Public Pensions
Document Summary

Disgorgement & Penalty Information

Resolutions
On June 30, 2017, the SEC announced a Name Change of Appointed Tax Administrator.

Related Documents:

33-9349 14-Aug-2012 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-79888 27-Jan-2017 Administrative Proceeding
Notice of Proposed Plan of Distribution and Opportunity for Comment

Other Defendants in Action:

Wells Fargo Brokerage Services, LLC