Wells Fargo Fined by FINRA for VIX Linked Exchange Traded Products

Stockbroker Law - Thursday, November 30, 2017
Wells Fargo Fined by FINRA for VIX Linked Exchange Traded Products

The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC $3.4  ..

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SEC Issues Microcap Fraud Alert for Low-Priced Stocks

Stockbroker Law - Friday, November 17, 2017
SEC Issues Microcap Fraud Alert for Low-Priced Stocks

In a recent Release, the SEC warned investors about fraudulent schemes involving Over-The-Counter (OTC) stocks (https://www.sec.gov/spotlight/microcap ..

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