Wells Fargo Advisors and its related firms have agreed to pay a fine of $2.1 million to settle a disciplinary action brought by the Financial Industry Regulatory Authority (FINRA) for the companies’ failure to supervise the sale of complex financial products known as non-traditional exchange-traded funds, as well as for making unsuitable recommendations of these […]
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Tag Archives: Wells Fargo Advisors
Wells Fargo Brokerage Firms Fined for Failure to Supervise ETF Sales
June 20, 2015 | Posted by : Nicholas Guiliano | News | Comments Off on Wells Fargo Brokerage Firms Fined for Failure to Supervise ETF Sales
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