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Name of Respondent(s) Date Type of Action File Number
Steve Armand Pedian December 15, 2017 Notice Of Hearing 1600490
Wells Fargo Advisors L.L.C. December 21, 2017 Notice Of Hearing 1500252
Wells Fargo Advisors L.L.C. December 21, 2017 Consent Order 1500252

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