Violation Tracker Individual Record
Company:Wells Fargo Securities
Date:March 20, 2019
Primary Offense:investor protection violation
A federal court ordered Wells Fargo Securities to pay more than $800,000 in civil penalties for disclosure failures associated with a municipal bond offering it underwrote to finance startup video game company 38 Studios.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:California
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking
Source of Data:
Source Notes:If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.