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Wells Fargo Investments, LLC

Wells Fargo Investments, LLC (CRD #10582, San Francisco, California) received a censure and fine of $30,000. Additionally, the firm was required to pay $4,178.60, plus interest, in restitution to public customers. According to the findings, the firm failed to ensure that it used reasonable diligence to ascertain the best inter-dealer market. The regulators also found that the firm bought or sold in such market so that the resultant price to its customer was as favorable as possible under prevailing market conditions. The firm accepted the fine and censure but did not admit or deny the accusations.

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