ERC721

The Financial Industry Regulatory Authority sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC for selling leveraged and inverse exchange-traded funds (etfs) without reasonable supervision and for not having a reasonable basis for recommending the securities. For more info visit https://www.finra.org/media-center/news-releases/2012/finra-sanctions-four-firms-91-million-sales-leveraged-and-inverse

Name

910

Owner

0x7c7FE30171C9c302066E3C4e2E9733DF2A8b94F5

ID#910

Rarity

LO:53%

Parent Company

Wells Fargo

X-HI:6%

Company

Wells Fargo Advisors, LLC

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$1,931,488.00

EX:MAX

Year

2012