Violation Tracker Individual Record

Company: 
Wells Fargo Advisors LLC
Current Parent Company: 
Wells Fargo
Penalty: 
$300,000
Year: 
2016
Date: 
June 9, 2016
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

unsuitable investment recommendations

Level of Government: 
state
Action Type: 
agency action
Agency: 
Vermont Department of Financial Regulation
Civil or Criminal Case: 
civil
Facility State: 
Vermont
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 Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.