Wells Fargo Advisors Slapped with $1.5 Million FINRA Fine for Alleged Anti-Money Laundering Compliance Failure

Rochester stockbroker fraud attorney

The Peiffer Rosca Wolf investment fraud attorneys are currently investigating Wells Fargo Advisors. From 2003 to 2012, Wells allegedly failed to properly examine as many as 220,000 new clients, and not completing the requisite identity verification, according to FINRA documents currently being poured over by attorneys Alan Rosca and Joe Peiffer. A statement from the… Read more »