投资者律师博客bob200体育证券新闻：据报道，富国银行的财富管理部正在调查中，Merrill Lynch被指控涉及未注册证券销售的守门失败，而NYSE必须支付1400万美元
SEC Reportedly Investigating Wells Fargo Over Possible Inappropriate Investment Sales to Wealth Management Clients
根据新闻报道，美国证券交易委员会正在调查富国银行（WFC）财富管理部bob200体育门，以查看其客户是否不适当地出售了某些内部投资服务，即使这些服务不符合其最大利益。消息人士告诉Bloombergthat the regulator’s role in the probe has not been publicly disclosed.
但是，在监管文件中，富国银行透露，它正在研究是否是否inappropriate recommendations与401（k）计划翻车，替代投资以及经纪客户转介有关该公司的“投资和信托服务业务”有关。该银行指出，在联邦机构的询问之后，它正在评估其财富管理业务中的这些问题。
Bloombergnotes that it was in 2015 that JPMorgan Chase & Co. (JPM) consented to pay $267M over allegations that its customers were not told that it had profited by placing their funds in certain hedge funds and mutual funds that charged particular fees.
Merrill Lynch to Pay $1.25M Penalty to Settle Gatekeeping Failure Allegations
Merrill Lynch, Pierce, Fenner & Smith Inc. (BAC) has settled US Securities and Exchange Commission charges accusing the firm of not conducting the proper gatekeeping functions related to unregistered securities sales by Longtop Financial Technological Limited, which is based in China. Although not denying or admitting to the regulator’s findings, the firm will pay a $1.25M penalty, over $154K in disgorgement, and prejudgment interest related to fees and commissions earned from the allegedly improper sales.
监管机构发现，尽管有警告信号表明正在发生涉及未注册销售的非法分配，但美林林奇（Merrill Lynch）在那里售出了将近百万美元的金融股份。Longtop及其分支机构从销售中赚了近3800万美元。
SEC Division of Enforcement Associate Director Antonia Chion noted how important it was for brokerage firms to act as gatekeepers to prevent unregistered securities sales. SEC registration of Longtop securities has since been revoked.
纽约SE Settles SEC Charges for $14M
The SEC announced that it has filed charges against the New York Stock Exchange and two affiliated exchanges over regulatory failures related to a number of incidents. The regulator’s case stems from five different probes.
根据委员会的说法，所涉及的违法行为包括在“不寻常市场波动”的一天内实施市场监管停止的错误执行，即使没有适用的规则涉及，并且疏忽并错误地代表股票价格是“自动化的”即使在两个交易所进行完整关闭之前，存在“广泛”的问题。SEC表示，纽约证券交易所的交流违反了与“业务连续性和灾难恢复”有关的规则，包括法规SCI。这是该法规首次提出违规指控，这是为了增强证券市场完整性和技术基础设施。bob200体育
By settling, the NYSE, NYSE American, and NYSE Arca settled without denying or admitting to the Commission’s findings.
在Seek Partners Group，我们与机构投资者和高净值个人投资者合作，以帮助他们为由于造成的损失而奋斗的财务恢复投资欺诈。联系我们bob200体育证券律师事务所today.
富国银行的财富管理业务面临SEC调查, Bloomberg, March 1, 2018
The SEC Order in the Merrill Lynch Case（PDF）
The SEC Order in the NYSE Case（PDF）
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Ex-Wells Fargo Broker Barred for Alleged $180K Elder Financial Fraud, February 26, 2018
UBS Must Pay Five Clients $521,000 Over Puerto Rico Bond Fraud, February 24, 2018