A former Wells Fargo Advisor compliance officer faces an SEC enforcement action for allegedly altering a document before it was provided to the agency during an insider trading investigation.
The SEC charges that Judy K. Wolf in 2012 altered her report of a compliance review of a broker's trades, looking to identify possible suspicious trading. Wolf originally concluded there were no findings," in the September 2010 review, according to the agency.
Register or login for access to this item and much more
All On Wall Street content is archived after seven days.
Community members receive:
- All recent and archived articles
- Conference offers and updates
- A full menu of enewsletter options
- Web seminars, white papers, ebooks
Already have an account? Log In
Don't have an account? Register for Free Unlimited Access