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Wells Fargo Enforcement

Venable LLP

Update: Judge Allows Most of Receiver’s Claims Against Wells Fargo for Involvement with Negative Option Marketers to Proceed

Venable LLP on

A few weeks ago, we wrote an article discussing two enforcement actions by the Federal Trade Commission in the Central and Southern Districts of California that highlighted the risks to payment processors and financial...more

Dorsey & Whitney LLP

SEC Charges Wells Fargo Analyst, Trader With Insider Trading

Dorsey & Whitney LLP on

Analysts reports frequently move the market and are thus considered inside information prior to publication. That is the predicate for an SEC administrative proceeding which charges a Wells Fargo analyst and trader with...more

Dorsey & Whitney LLP

Wells Fargo Admits Violating Law, Pays SEC $5 Million Penalty

Dorsey & Whitney LLP on

Wells Fargo was named by the Commission in a proceeding for failing to establish, maintain and enforce policies and procedures to prevent the misuse of inside information. The firm added to its difficulties during the...more

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