US Regulator Slaps Wells Fargo’s Investment Arm With $275,000 Fine – Here’s Why

A self-regulatory organization that oversees member brokerage firms and exchange markets just slapped Wells Fargo’s investment operation with a $275,000 fine. The Financial Industry Regulatory Authority (FINRA) says it imposed the penalty following Wells Fargo Clearing Services’ failure to comply with the organization’s rules. source: https://dailyhodl.com/2025/08/15/us-regulator-slaps-wells-fargos-investment-arm-with-275000-fine-heres-why/