ERC721

The Financial Industry Regulatory Authority fined Wells Fargo Investments, LLC, $2 million for unsuitable sales of reverse convertible securities through one broker to 21 customers, and for failing to provide sales charge discounts on Unit Investment Trust (UIT) transactions to eligible customers. For more info visit https://www.finra.org/media-center/news-releases/2011/finra-fines-wells-fargo-2-million-unsuitable-sales-reverse-convertibles

Name

552

Owner

0x30401Ef7500Ef1f3BADaA0E20094F940a49d75b5

ID#552

Rarity

X-LO:93%

Parent Company

Wells Fargo

X-HI:6%

Company

Wachovia Securities LLC

EX:MAX

Violation

Defrauding Investors

HI:19%

Penalty

$2,000,000.00

EX:1%

Year

2011