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Wells may have settled with former employee Claudia Ponce de Leon because it wanted to avoid the "massive exposure" of a jury trial, an expert says. It is unclear how the agreement will affect Wells’ other cases.
January 20
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The alleged failures stretched over a two year period, according to the regulator.
December 19
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The violations, which occurred from January 2009 through May 2017, affected approximately 95% of the firm's non-registered employees, according to FINRA.
November 21
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Jurors in New York federal court awarded Jennifer Sharkey $563,000 in back pay and $563,000 for emotional damage.
November 7
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The advisor was accused of stealing more than $1 million from his clients to pay for golf course fees, tanning salons and other personal expenses.
September 7
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The former First Tennessee Bank adviser defrauded numerous customers to satisfy a gambling addiction that started when he was in college, according to court documents.
June 20
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Approximately $4,500 was used to sponsor a cricket club via a shell company, authorities say.
June 15
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He confessed months after he was caught with 136 pounds of marijuana, investigators say.
June 6
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Charles Banks pleaded guilty to wire fraud related to loan refinancing for sports merchandising venture Gameday Entertainment.
April 4
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A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.
April 3
