These disclosures that commission rates charged “may” not be the “lowest,” the “absolute lowest,” or even “not the lowest” failed to fully and fairly disclose ...
The certification shall identify the undertakings, provide written evidence of compliance in the form of a narrative, and be supported by exhibits sufficient to demonstrate ...
'Egregious, long-running, and extensive fraud that went undetected for years' was 'very profitable component,' made up 25% of firm's revenues, feds claim.
Upon deployment of the new version of its AML transaction monitoring system, Wells Fargo Advisors failed to perform sufficient testing to ensure that the system ...