ERC721

The Financial Industry Regulatory Authority announced that it has ordered two St. Louis-based broker-dealers under common control, Wells Fargo Advisors and Wells Fargo Advisors Financial Network, to pay a joint fine of $1.5 million for anti-money laundering (AML) failures. For more info visit https://www.finra.org/media-center/news-releases/2014/finra-fines-wells-fargo-advisorswells-fargo-advisors-financial-network

Name

203

Owner

0x4c134E7B40C2c40be0f92ED7a38693D437076f66

ID#203

Rarity

LO:75%

Parent Company

Wells Fargo

X-HI:6%

Company

Wells Fargo Advisors and Wells Fargo Advisors Financial Network

EX:MAX

Violation

Anti-Money-Laundering Deficiencies

EX:MAX

Penalty

$1,500,000.00

EX:2%

Year

2014