Search for: "Wachovia Securities Inc"
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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]
7 Feb 2010, 6:45 am
A copy of the award is available here.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 advisors. [read post]
5 Jan 2010, 11:56 am
In one case, a FINRA arbitration panel awarded $1.1 million in legal fees to Stifel Nicoloaus & Co. and four brokers after they were sued by Wachovia Securities, LLC. [read post]
22 Dec 2009, 7:01 pm
Prosecutors are accusing Brian Schuster and Rebecca Engle, previously affiliated with Wachovia Securities LLC, Capital Growth Financial LLC, and VSR Financial Services Inc., of improperly selling risky investments to former clients when they worked together between 2000 and 2007. [read post]
10 Dec 2009, 3:09 am
Wachovia Bank, Inc.: granting a motion to dismiss fiduciary duty claims and unfair and deceptive practices claim by bank customer against the bank for alleged mismanagement of securities investments. [read post]
9 Dec 2009, 7:38 pm
In CitiMortgage, Inc. v. [read post]
2 Nov 2009, 6:45 am
Thompson (Forsyth)(Jolly): claims by holders of Wachovia stock against certain officers and directors of the bank, as well as its auditors, for securities fraud and accounting misstatements relating to the collapse of Wachovia. [read post]
25 Sep 2009, 7:54 am
Defendants include, but are not limited to, Merrill Lynch & Co., Inc., Morgan Stanley, JP Morgan Chase & Co., Bear Stearns & Co., Inc., AIG Financial Products Corp., UBS AG, and Piper Jaffray & Co. [read post]
24 Sep 2009, 10:37 am
The firm, which later became part of Wachovia Securities, paid $600 million in 2006 to settle market-timing charges with federal and state securities regulators. [read post]
2 Sep 2009, 9:30 am
Wachovia Sec., LLC, Civ. [read post]
9 Jul 2009, 3:05 am
Both Byrd and Harris resigned from Bank of America (BOA) to join Wells Fargo Advisors, formerly known as Wachovia Securities, LLC ("Wachovia"). [read post]
10 Jun 2009, 10:32 am
The group is led by Harry Pearce, a retired General Motors Corp. vice chairman who is the Non-Executive Chairman of Nortel Networks Corp. and the Chairman of MDU Resources Group, Inc. [read post]
Evergreen Pays Over $40 Million to Settle SEC Charges that it Overvalued Mortgage-Backed Investments
9 Jun 2009, 10:53 am
Evergreen was a subsidiary of Wachovia at the time of the violation, according to Reuters. [read post]
1 Jun 2009, 9:10 pm
Inc., Royal Bank of Canada, Morgan Stanley, Wachovia Corp, and UBS AG. [read post]
1 Jun 2009, 4:19 am
(Yadkin)(Tennille): securities claims regarding bonds issued by plaintiff and sold by Wachovia and also claims involving an interest rate swap agreement. [read post]
27 May 2009, 3:35 am
American Airlines Inc., Judge Sotomayor ruled against an African-American couple who claimed they were bumped from a flight because of their race. [read post]
28 Apr 2009, 11:04 am
"Several financial-service companies that issued auction-rate debt have agreed to repurchase billions of dollars of the devalued securities to settle claims by regulators that they defrauded investors.Last month, Wachovia Corp., which Wells Fargo acquired last year, agreed to repurchase $1.5 billion of the securities from California investors in a settlement with the state Department of Corporations that also included a division of Citigroup Inc. [read post]
26 Apr 2009, 4:36 pm
Wachovia Capital Markets LLC and Citigroup Global Markets Inc. will settle allegations by the Michigan Office of Financial and Insurance Regulation that the firms misled investors who bought auction rate securities by paying a combined $880.3 millionâ€â [read post]
9 Apr 2009, 8:34 am
Wachovia Sec., LLC, Civil No. 06-476, 2006 WL 2177036 (D.N.J. [read post]
3 Apr 2009, 7:23 pm
Body Blue Inc.; Synergism Arithmetically Compounded Inc. v. [read post]
