Altered docs land former Wells compliance officer in hot water
Judy Wolf, formerly with Wells Fargo, allegedly attempted to make it appear she adequately reviewed a broker later charged with insider trading. Plus, see 5 compliance lessons from recent SEC cases
The Securities and Exchange Commission announced Wednesday that it was taking enforcement action against a former compliance officer at Wells Fargo Advisors who allegedly altered a document before it was provided to the SEC during its investigation into a former broker's insider trading.
The charge
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