Search for: "Wachovia Securities Inc"
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17 Mar 2009, 7:40 am
In December, Texas issued a final order requiring Citigroup Inc. to pay Texas $3.6 million for misrepresenting auction rate securities to investors, Mr. [read post]
9 Feb 2009, 3:09 pm
Foundation Inc., Morgan Stanley & C., Inc., UBS Securities LLC, and Wachovia Capital Markets, are under fire from American National Insurance Company and the City of South San Francisco. [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]
2 Jan 2009, 8:22 am
Wachovia Bank N.A. v. [read post]
28 Dec 2008, 9:16 am
Auction Rate Securities (ARS) Marketing Litig., No. 2014; In re Wachovia Corp. [read post]
22 Dec 2008, 5:18 pm
UBS Financial Services, Inc., UBS Securities, LLC, and Citigroup have reached finalized settlements with the Securities and Exchange Commission to pay tens of thousands of ARS investors almost $30 billion. [read post]
16 Dec 2008, 2:00 pm
In the case known as In Re Citigroup, Inc. [read post]
17 Nov 2008, 11:00 pm
Weiss, Wachovia Securities Inc. [read post]
1 Nov 2008, 3:12 am
(Intellectual Property Marketing Advisor) (IP finance) New book lifts lid on IP value creation 'From Assets to Profits: Competing for IP Value and Return' (IAM) Open letter to World Customs Organisation concerning increased enforcement of intellectual property (IP Justice) Panel: WTO cross-retaliation could bring compliance but political pressure high (Intellectual Property Watch) Push continues for TRIPS biodiversity amendment, geographical indications extension (Intellectual Property… [read post]
14 Oct 2008, 12:54 pm
The settlement resolved charges of improper security sales practices by subsidiaries of Wachovia Securities [read post]
23 Sep 2008, 4:10 am
Wachovia Securities, LLC, 450 F.3d 265 (7th Cir.2006); GMAC Commercial Credit LLC v. [read post]
19 Sep 2008, 3:59 pm
Yesterday the Financial Industry Regulatory Authority ("FINRA") announced auction-rate securities settlements with SunTrust Robinson Humphrey, Comerica Securities, First Southwest, and WaMu Investments, Inc. [read post]
29 Aug 2008, 9:14 pm
Google Inc., Bed Bath & Beyond Inc., and Starbucks Corp., among other companies, purchased auction-rate securities because they were led to believe such securities were cash equivalents and were not advised of material facts regarding auction-rate securities, the auction-rate securities markets and the auction process. [read post]
26 Aug 2008, 5:42 pm
The Regional Bond Dealers Association had told Cuomo, in an August 15 letter, that entities that sold ARS to its clients but had nothing to do with managing their issuance should not be made to repay clients back at par illiquid the way financial services firms, such as Citigroup Inc., Morgan Stanley, Wachovia Corp, JP Morgan Chase and Co, UBS AG, and Goldman Sachs Group Inc., are now required to do, so per their settlements with federal and state regulators. [read post]
26 Aug 2008, 3:14 pm
So far, Merrill Lynch & Co., Goldman Sachs Group, Deutsche Bank, Citigroup Inc., UBS Financial Services, Morgan Stanley, JPMorgan Chase & Co., and Wachovia Corp. have agreed to buy back frozen auction-rate securities from investors. [read post]
25 Aug 2008, 7:46 am
The nearly $35 billion in auction-rate securities-related frozen debt that Wachovia Corp, Citigroup Inc, JP Morgan Chase & Co, UBS AG, and Morgan Stanley have agreed to repurchase consists of less than 18% of the $200 billion that New York Attorney General Andrew Cuomo says is outstanding. [read post]
11 Aug 2008, 9:20 pm
Edwards & Sons, Inc., Piper Jaffray , SunTrust Capital Markets , and Bank of America Securities as well as Morgan Stanley, JP Morgan and Wachovia Securities. [read post]
5 Aug 2008, 3:36 pm
For more information on ARS losses, read the following Wall Street Journal articles below: Citigroup May Face Auction-Rate Suit Cuomo Threatens Charges of Fraud, Destroying Evidence By AMIR EFRATI August 2, 2008; Page B7 New York state's attorney general, Andrew Cuomo, threatened on Friday to sue Citigroup Inc. for alleged fraud in the marketing and sales of auction-rate securities and for destroying evidence after being subpoenaed by his office. … [read post]
4 Aug 2008, 10:21 pm
Keith Elis, a Financial Advisor with Financial Advisor at Wachovia Securities, LLC, and graduate of the University of Connecticut School of Law (1998) said, Without taking a position as to whether online gambling is a net benefit or net cost to society, it seems true that the indiscriminate nature of gambling restriction across the world is hindering the effective implementation of some very interesting, potentially useful ideas related to prediction markets. [read post]
25 Jul 2008, 7:17 pm
Edwards & Sons, Inc., Piper Jaffray & Co., SunTrust Capital Markets Inc., Wachovia Capital Markets, LLC, and Bank of America Securities LLC. [read post]
