⚠ Notice: SCAC Restructuring

The SCAC is currently undergoing restructuring and has paused updates to the Clearinghouse website. As a courtesy to our users, the New Filings email will continue to be provided by the Stanford Securities Litigation Analytics project during this period.

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  • Source: Reuters

    U.S. SEC Says Ex-Wells Fargo Compliance Officer Altered Document
    Nate Raymond, Reuters, October 15, 2014

    Excerpt:

    A former compliance officer at a unit of Wells Fargo & Co was charged by the U.S. Securities and Exchange Commission on Wednesday for allegedly altering a document before it was given to the agency during an insider trading investigation. The SEC said Judy Wolf, then at Wells Fargo Advisors LLC, in 2010 closed an internal review of a Brazil-based broker’s trading with no findings. [...]

    Read the Full Article  (the article may no longer be available online.)

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