How The Wells Process Works For Securities Enforcement Actions
As an investor, you likely rely on the advice of financial professionals to make sound investment decisions. But what happens if those experts are wrong? What if the stock you bought tanked, leaving you with a significant loss? In securities law, this is known as a “wells” action – a lawsuit brought by an investor who has suffered a loss as a result of the advice of a financial professional. What is The Wells Process? The Wells Process is a process that securities regulators use to take enforcement actions. The…
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