Have a Claim?

Click here for a confidential contact or call:


October 15, 2014

Posted  January 26, 2016

The SEC announced an enforcement action against former Wells Fargo Advisors compliance officer Judy K. Wolf for allegedly altering a document before it was provided to the SEC during an investigation and then lying about it.  The SEC previously charged Wells Fargo in the case, and the firm agreed to pay $5M settle the charges.  Prior to the enforcement action, Wells Fargo placed Wolf on administrative leave and ultimately terminated her employment.  SEC

Tagged in: Misrepresentations, Regulatory Violations, Securities Fraud,