A Wells notice is a formal notification from the SEC to inform a person or company that they were involved in a completed investigation by the regulator. The notice is given when infractions have ...

The company's CEO said in a post on X on Wednesday that the U.S. Securities and Exchange Commission issued a Wells notice ...

Earlier in January, BMO settled SEC charges in a matter of alleged deceptive structuring and marketing of CMOs, agreeing to ...

Two Wells Fargo-affiliated investment advisers and Merrill Lynch agreed to pay $60 million, while LPL Financial agreed to pay ...

Some crypto firms worry that the agency's harsh enforcement actions may still impact them months or years into a new ...

The US Court of Appeals for the Third Circuit has ordered that the SEC explain itself for refusing to set clear crypto ...

SolarWinds Friday said that some of its past and former executives were issued a Wells notice by the U.S. Securities and Exchange Commission related to potential violations stemming from the ...

The U.S. Securities and Exchange Commission (SEC) on Friday said a pair of Wells Fargo Advisory firms and Merrill Lynch have ...

Wells Fargo and Merrill Lynch will pay $35 million and $25 million, respectively, to settle allegations by the Securities and ...

In its Wells notice, or warning to the company of a looming lawsuit, the SEC said that the crypto exchange was operating as an unregistered broker-dealer and securities clearing agency.

Last week, the SEC issued a Wells Notice—a warning-shot letter that informs an individual or a company that the agency intends to file a lawsuit—against Unicoin, a U.S.-based crypto investment ...