SEC
Whistleblower
Attorneys
Landmark Lawsuit Filed Against SEC to Protect Future Whistleblowers

March 11, 2019

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

Trading and Pricing

SANCTION AMOUNT: 17363847.29

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

Settled charges that Respondents failed to adequately disclose conflicts of interest related to the sale of higher-cost mutual fund share classes that charged 12b-1 fees, when a lower-cost share class was available. The Respondents self-reported the potential violations.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
Thank you for submitting some email to us.