SEC
Whistleblower
Attorneys
LANDMARK LAWSUIT FILED AGAINST SEC TO PROTECT ALL WHISTLEBLOWERS

February 27, 2020

Wells Fargo Clearing Services, LLC, Wells Fargo Advisors Financial Network, LLC

Trading and Pricing

SANCTION AMOUNT: $35000000

Defendants: Wells Fargo Clearing Services, LLC, Wells Fargo Advisors Financial Network, LLC

In a settled administrative proceeding, the SEC found that Respondents' policies and procedures were not reasonably designed to detect and prevent unsuitable recommendations of high-risk single-inverse ETFs to retail investors. As a result, Respondents' employees made such recommendations including to senior citizens and retirees over a period of years.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
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