Tagged with "Judy K. Wolf"

Former Wells Fargo Compliance Officer Charged With Unauthorized Document Alteration

Posted on October 27th, 2014 at 11:39 AM

The SEC announced an enforcement action against a former Wells Fargo Advisors compliance officer for altering documents without authorization during an investigation by the SEC.

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We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.

Allan and Adele

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