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Alts News

SEC Fines Wells Fargo $35 Million for Overcharging Investment Accounts

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The Securities and Exchange Commission charged Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network LLC for overcharging more than 10,900 investment...
Alts News

SEC Issues $539 Million of Fines in Expanding Crackdown on Use...

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Several Wall Street Firms have been fined more than $500 million for using various private communication applications for business. The Securities and Exchange Commission announced...
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