Brief: US SEC Says Wells Fargo And LPL Financial Settled Charges For Submitting Deficient Trading Data

LPL Financial Holdings

20/12/2024 14:07

Dec 20 (Reuters) - 
  

    * U.S. SEC SAYS WELLS FARGO AND LPL FINANCIAL CHARGED FOR
SUBMITTING DEFICIENT TRADING DATA TO SEC
    * U.S. SEC: WELLS FARGO AND LPL EACH AGREED TO PAY A
$900,000
CIVIL PENALTY TO RESOLVE SEC'S CHARGES

Source text: https://www.sec.gov/newsroom/press-releases/2024-207

 ((Reuters.Briefs@thomsonreuters.com;))