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Showing 1 - 3 of 3 results for "Wells Fargo Securities"

SEC fines private equity firms for recordkeeping failures

KARREN VERGARA  |  TUESDAY, 14 JAN 2025
... recordkeeping failures. BNY Mellon Securities Corporation and Pershing were fined US$40 million. The year prior, Wells Fargo Securities and BNP Paribas Securities were among many that paid huge fines for their failures, using iMessage, WhatsApp, and ...

Wall Street firms slugged $442m for recordkeeping breach

KARREN VERGARA  |  WEDNESDAY, 9 AUG 2023
... involved employees at multiple levels of authority, including supervisors and senior executives, the SEC said. Wells Fargo Securities and its subsidiaries will pay US$125 million in penalties; BNP Paribas Securities and SG Americas Securities will each ...

Market Wrap - Morning

AAP  |  THURSDAY, 8 APR 2010
... financial sector offset profit-taking in other stocks after the benchmark's recent rally to 18-month highs. Wells Fargo Securities raised its rating on large-cap US banks on Tuesday, citing more clarity on asset-quality trends, and this lifted the banking ...
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