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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/

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The information on this website is for general information purposes only and may be considered attorney advertising. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.

Sallah Astarita & Cox – National Securities Arbitration and Litigation Attorneys


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