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SEC Fines Wells Fargo Brokerage Unit $7M For AML Lapses

By Jon Hill ( May 20, 2022, 10:35 AM EDT) -- A Wells Fargo & Co. unit has agreed to pay a $7 million fine to settle U.S. Securities and Exchange Commission claims of anti-money laundering lapses stemming in part from the allegedly faulty rollout of a new version of its transaction monitoring system, the agency said Friday....

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