SEC-PR-2412-207 (Dec. 20, 2024) (SEC-PR-2412) Wells Fargo and LPL Financial Charged for Submitting Deficient Trading Data to SEC – Wells Fargo’s penalty amount reflects that it self-reported its misconduct Excerpt: Washington D.C., Dec. 20, 2024 — The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services LLC and LPL Financial LLC […]