Search for: "Wachovia Securities, LLC "
Results 1 - 20
of 151
Sorted by Relevance
|
Sort by Date
6 Apr 2011, 11:28 am
The United States Securities and Exchange Commission announced that Wells Fargo Securities LLC consented to an $11.2 million fine in connection with the sale of collateralized debt obligations (CDOs) in late 2006 and early 2007. [read post]
24 Mar 2009, 1:53 pm
FINRA announced that it fined Wachovia Securities, LLC and First Clearing, LLC, both of St. [read post]
9 Jun 2008, 1:46 pm
From PlanSponsor.com this morning: The law firm of Stember Feinstein Doyle & Payne, LLC is investigating whether conduct of certain fiduciaries to the Wachovia Savings Plan, the company's 401(k) plan, violated the Employee Retirement Income Security Act of 1974 (ERISA).... [read post]
3 Feb 2009, 2:48 pm
Pretty soon we are going to need a scorecard - Wachovia Securities LLC and UBS Financial Services Inc. of New Yorkhave engaged in preliminary talks about a joint venture for theirretail-brokerage units, according to a report in today's New York Post. [read post]
25 Jun 2009, 12:51 pm
FINRA announced today that it fined Wachovia Securities, LLC $1.4 million for its failure to deliver prospectuses and product descriptions to customers who purchased various investment products from July 2003 through December 2004 and for related supervisory failures. [read post]
5 Feb 2009, 1:30 pm
The SEC and the New York Attorney General separately announced the finalization of the settlement with Wachovia Securities, LLC that will provide more than $7 billion in liquidity to thousands of customers who invested in auction rate securities (ARS) before... [read post]
20 Aug 2009, 7:50 pm
Wachovia Securities, LLC and related entities will offer to refund $324.6 million in auction-rate securities from Pennsylvania investors. [read post]
5 Apr 2011, 12:12 pm
The SEC announced that Wells Fargo Securities LLC agreed to settle charges that Wachovia Capital Markets LLC engaged in misconduct in the sale of two collateralized debt obligations (CDOs) tied to the performance of residential mortgage-backed securities as the U.S.... [read post]
7 Apr 2011, 10:56 pm
According to the SEC, Wachovia Capital Markets LLC, now called Wells Fargo Securities, violated securities law anti-fraud provisions when it sold the complex mortgage-backed securities to investors despite the red flags indicating that there was trouble brewing with the US housing market. [read post]
17 Jul 2008, 6:12 pm
A team of state regulators raided Wachovia Securities' St. [read post]
6 Apr 2011, 9:25 am
Wells has agreed to pay $11.2 million to settle charges by the Securities and Exchange Commission (SEC) that its Wachovia Capital Markets LLC unit sold CDOs to a Zuni American Indian tribe and other investors at prices 70% higher than its own estimate of the mark-to-market value of the securities. [read post]
14 Dec 2011, 2:45 pm
Morgan Securities LLC, which settled with the SEC and other federal and state authorities in July for $228 million. [read post]
15 Aug 2008, 9:10 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
28 Jun 2007, 10:30 am
Wachovia Securities LLC of Richmond, Virginia says that it will pay $2 million in restitution to settle charges that it did not properly supervise its fee-based brokerage business from 2001 to 2004. [read post]
5 Oct 2011, 3:17 pm
Edwards & Sons, Inc. and its successor firms, Wachovia Securities, LLC and Wells Fargo Advisors, LLC. [read post]
22 Jul 2008, 8:13 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
12 May 2008, 8:53 am
Wachovia has announced that its securities unit has received subpoenas from the SEC and various state regulators regarding its auction-rate securities practices. [read post]
23 Feb 2012, 9:18 am
Wachovia has since been renamed Wells Fargo Advisors, LLC. [read post]
1 Oct 2015, 7:46 am
Morgan Securities LLC, Chase Investment Securities Corp., Wachovia Securities, Morgan Stanley DW, Inc., Prudential Securities, Inc. and Whale Securities Co., L.P., according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
9 Feb 2010, 11:53 am
The offices were, at the time, Wachovia offices, and according to published reports, Wachovia Securities allegedly lost $5.3 million in production from the departures of these advisers. [read post]
