SEC Sues Ex-Wells Fargo Compliance Officer For Allegedly Altering Document

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The Securities and Exchange Commission said it's suing a former compliance officer at Wells Fargo Advisers for allegedly altering a document before it was provided to the agency during an investigation. The SEC alleges that the officer, Judy Wolf, altered a document about a Wells Fargo broker's trading to make it seem like she provided a more thorough review than she actually had. The SEC had previously charged Wells Fargo in the case, and the firm agreed to pay a $5 million fine, and has terminated Wolf, the SEC said.

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