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Wells Notice
(redirected from Wells Notices)

    Also found in: Wikipedia 0.01 sec.
Wells Notice
Written documentation of a coming enforcement action from the Securities and Exchange Commission to the respondent. While a Wells notice is not legally required, it has been standard practice since the 1970s.
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To the company's knowledge, the Wells notices relate to items addressed in the company's previously filed restated financial statements.
Diebold CFO, Former Employees Receive Wells Notices by PR Newswire
The company's former chief financial officer Robert Tieken and former accounting head Stephanie Bergeron also received Wells Notices.
Accounting woes for Goodyear by The Birmingham Post (England)
Individuals at Goldman were promptly informed of the receipt of the Wells Notices by the outside counsel for both employees, but they subsequently failed to notify the Goldman compliance unit charged with updating Forms U4.
Goldman Sachs to Pay $650,000 for Failing to Disclose Wells Notices by Business Wire
 
 
 
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