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Wells Fargo Broker-Dealers Pay Restitution in ETP Case

October 25, 2017 by Eugene Grygo

Wells Fargo Broker-Dealers Pay Restitution in ETP Case

Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network have been ordered to pay $3.4 million in restitution to clients that were allegedly misled via “unsuitable recommendations of volatility-linked exchange-traded products (ETPs),” according to the Financial Industry Regulatory Authority (FINRA), a self-regulatory organization (SRO) for broker-dealers. On a Wells Fargo website, the volatility-linked ETPs… Read More >>

Filed Under: Securities Operations, Buy-Side, Middle-Office, Operational Risk, Settlement, General Interest, FinTech Trends, Back-Office, Standards, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: exchange-traded products, FINRA, settlement, VIX, volatility-linked, Wells Fargo

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