December 18, 2014 BY Andrew Saks-McLeod
FINRA censures broker-dealer arm of Wells Fargo for anti-money laundering failures
Wells Fargo Advisors (WFA) and Wells Fargo Advisors Financial Network (WFAFN), to pay a joint fine of $1.5 million for anti-money laundering (AML) failures, as both firms failed to subject over 200,000 new accounts to identity verification
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