- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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A former compliance officer of Wells Fargo Advisors who faced an enforcement action by the Securities and Exchange Commission last year for allegedly altering a document before it was provided to the SEC during an investigation has won dismissal of her case. “Wells Fargo clearly had much deeper and more ...
Wells Fargo Advisors, with $1.4 trillion in client assets, has named Jim McHale as chief compliance officer. His appointment follows an administrative proceeding instituted by the Securities and Exchange Commission in October against Wells Fargo's former compliance officer for allegedly altering a document before it was provided to the SEC ...
Eight business executives, including the billionaire owner of Indian energy company Adani Group, were charged with fraud for their alleged roles in a multi-million bribery scheme to win a solar energy contract in India.
