Finra censures and fines Wells Fargo $350,000
Regulator says the firm failed to supervise reps’ sales of risky energy securities
The Financial Industry Regulatory Authority Inc. has censured and fined Wells Fargo Clearing Services $350,000 for failing to supervise two of the firm’s brokers who sold risky energy securities.
Finra said that between November 2012 and October 2015, two former firm representatives, Charles Fr
Learn more about reprints and licensing for this article.