- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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 ...
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What should compliance officers take away from Wells Fargo employees secretly opening unauthorized deposit and credit card accounts for their customers? Joe Mont looks at the important lessons.
Wells Fargo & Company said this week in a securities filing that it would pay $1.2 billion to resolve certain civil claims relating to the company’s Federal Housing Administration lending activities. In a Form 8-K filing, Wells Fargo said it had reached an agreement in principle with the Justice Department, ...
The archive a firm selects can make or break their compliance strategy yet selecting an archive that meets your firm’s needs can be daunting. It is nearly impossible to identify the differences between vendors at first glance.
