Wells Notice

« Back to Glossary Index

Wells Notice – a notification from a regulator that it intends to recommend that enforcement proceedings be commenced against the prospective respondent. The notice references, in broad-strokes, the violation that the Staff believes has occurred.

See securities attorney Mark Astarita‘s commentary and tips for dealing with a wells notice https://www.seclaw.com/wells-notice-sec-finra-investigations/

« Back to Glossary Index
The Securities Lawyer