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FINRA fines Wells Fargo subsidiaries $2.25M for recordkeeping violations
By 
Aaron Nicodemus2021-12-09T20:52:00
Two Wells Fargo broker-dealers agreed to jointly pay a $2.25 million fine to settle charges levied by FINRA regarding a failure to store approximately 13 million customer records in the proper format over a 17-year span.
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