Wells Fargo's SEC settlement and the perils of M&A
Wachovia and later Wells Fargo overcharged about $26.8 million in advisory fees from 2002 to 2022, the SEC said. Photo: Cooper Neill, Bloomberg

Wells Fargo's SEC settlement and the perils of M&A

Wells Fargo-SEC settlement on advisory fees underscores M&A challenges: The bank is paying $75 million in penalties and restitution in connection with SEC allegations that its investment advisory arm overcharged customers it inherited in its Wachovia acquisition in 2008. The settlement is said to show the importance of conducting extensive compliance checks in a rapidly consolidating industry.

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