Violation Tracker Individual Record
Date:November 18, 2009
Primary Offense:investor protection violation
The California Attorney General announced a $1.4 billion settlement with three Wells Fargo affiliates to pay back investors, charities and small businesses that purchased auction-rate securities based on misleading advice.
Level of Government:state
Action Type:agency action
Agency:California Attorney General
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
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