FINRA Fines Wells Fargo Over Muni Securities Biz Compliance

By Emilie Ruscoe ( August 13, 2025, 10:47 PM EDT) -- Wells Fargo will pay $275,000 to end Financial Industry Regulatory Authority claims that the bank for years lacked a supervisory system designed to ensure that its investment services for municipal entity customers did not require it to register as a municipal adviser. ...

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