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Entries in Wells Fargo Advisors (3)


SEC: We protect compliance officers, except when we prosecute them

Andrew Ceresney, head of the SEC's enforcement division, delivered the keynote last week to the National Society of Compliance Professionals at the group's annual event in DC.

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Judge dismisses SEC action against former Wells Fargo compliance officer

A former Wells Fargo compliance officer who allegedly altered a document before giving it to the SEC during an investigation won dismissal of her case Wednesday after an administrative law judge refused to sanction her.

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SEC charges former Wells Fargo compliance officer with altering document

The Securities and Exchange Commission said Wednesday it brought an enforcement action against a former Wells Fargo Advisors compliance officer who allegedly altered a document before it was provided to the SEC during an investigation.

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