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Wells Fargo and LPL to Pay $1.8M to Settle SEC Charges
News December 20, 2024 at 11:48 AM
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What You Need To Know
- Due to 15 types of errors, Wells Fargo had missing or inaccurate data for at least 10.6 million total transactions.
- LPL's misreporting and missing data affected some 399,000 transactions.
- Separately, FINRA reached settlements with Wells Fargo and LPL for related conduct.
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