Violation Tracker Individual Record
: Wells Fargo Investments, LLC
Current Parent Company
: Wells Fargo
Parent at the Time of the Penalty AnnouncementPenalty
to see this data field
: November 30, 2004
: financial offenses
: investor protection violation
: NASD censured and fined 29 securities firms over $9.2 million for more than 8,000 late disclosures of reportable information about their brokers, including customer complaints, regulatory actions, and criminal charges and convictions.
Level of Government
: agency action
: Financial Industry Regulatory Authority
Civil or Criminal Case
HQ Country of Current Parent
HQ State of Current Parent
Ownership Structure of Current Parent
: publicly traded
Major Industry of Current Parent
: financial services
Specific Industry of Current Parent
Source of Data
: NASD Fines 29 Firms over $9.2 Million for Late Reporting, PR Newswire, November 30, 2004 (via Nexis).
: FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).
: If an online information source is not working, check the Violation Tracker Data Sources page
for an updated link.
Current parent company note
: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log