2019062519601 Wells Fargo Clearing Services, LLC CRD 19616 AWC ks.pdf

From January 2018 to July 2022, Wells Fargo failed to report 837,805 fractional share trades to the FINRA/Nasdaq Trade Reporting Facility (FNTRF) or the Over-the-Counter Reporting Facility (ORF). Additionally, from January 2018 to October 2023, the firm failed to report approximately 46,000 error correction trades to the FNTRF or ORF. Therefore, Wells Fargo violated FINRA Rules 6380A(b), 6622(b), and 2010.

FMVA

Financial Modeling & Valuation Analyst (FMVA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Corporate Finance Institute
Qualification and Training Requirements
Prerequisites

None
Designation Training Requirements

Online, self-paced training courses
Designation Exam Type

Online, open-book course assessments and final exam
Continuing Education Requirements

None
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

None
Published List of Disciplined Designees

None
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