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 ...

Antonia Apps predicted during this year's Securities Enforcement Forum that new agency leadership would be more thoughtful in ...

(RTTNews) - Spero Therapeutics, Inc. (SPRO), said on Friday that following a Wells Notice from the Securities and Exchange Commission, or SEC, related to certain public disclosures made in 2022 ...

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

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

CyberKongz is the second known NFT brand to have been targeted by the SEC this year after the regulator issued a Wells notice to NFT marketplace OpenSea, alleging securities laws violations over ...

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 ...

In the enforcement actions announced Friday, the regulator said the two firms agreed to settle the charges without admitting ...

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

“Wells Fargo Advisors and Merrill Lynch offered bank deposit sweep programs, or BDSPs, as the only cash sweep option for most ...

A Wells notice is a letter the SEC sends to companies or people after a SEC investigation is concluded that the recipients will be subject to an enforcement action. Receipt of a Wells notice typically ...