SEC
Whistleblower
Attorneys

November 13, 2017

Wells Fargo Advisors LLC

Financial Fraud

SANCTION AMOUNT: $3500000

Defendants: Wells Fargo Advisors LLC

Settlement of allegations that Respondent failed to file and timely file a number of Suspicious Activity Reports (SARs) regarding continuing activity occurring in accounts held at branch offices that focused on international customers.

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