Search for: "Wachovia Securities, LLC"
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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]
1 Jun 2008, 5:08 pm
Only those with appropriate security clearance (or at least a secret decoder ring) will be able to read the opinion.JDH Capital, LLC v. [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]
8 May 2008, 11:52 pm
In Los Angeles Superior Court, a number of life insurance companies, mutual funds, retirement systems, and other investors are suing Wachovia Securities LLC for alleged fraud related to the sale of senior subordinated notes for beverage maker Le Nature's Inc. [read post]
3 Apr 2008, 8:22 pm
Houston Petroleum Bank LLC had been advertising services on a Web site and was soliciting customer "deposits" from clients with a minimum $250,000 to invest in a wealth management account administered by Wachovia Securities LLC. [read post]
3 Jan 2008, 5:20 am
Several other lenders, including Wachovia, United Community Bank, Integrity Bank, First Cherokee State Bank, Community Bank of the South and Bank of Woodstock also have significant secured claims. [read post]
3 Dec 2007, 9:26 am
On November 28, 2007, FINRA announced it had fined Wachovia Capital Markets, LLC, $300,000 for violating research analyst conflict of interest disclosure rules. [read post]
16 Nov 2007, 12:55 am
Wachovia Securities acted as exclusive placement agent for the offering. [read post]
9 Oct 2007, 3:32 pm
Other firms sanctioned included UBS Securities; Bear Stearns & Co.; Credit Suisse Securities (USA) LLC ; Banc of America Securities LLC; Goldman Sachs & Co.; JP Morgan Securities; Wachovia Capital Markets LLC; and Keefe, Bruyette & Woods Inc. [read post]
7 Sep 2007, 9:46 am
See NASD News Release: NASD Fines Wachovia Securities $2 Million for Fee-Based Account Violations, June 21, 2007. [read post]
26 Jul 2007, 11:18 am
Wachovia Bank, N.A., 127 S.Ct. 1559, 1578 (2007), just a few months ago. [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]
14 Jun 2007, 7:48 am
The merged business will operate as Wachovia Securities and will be based in St. [read post]
26 Jan 2007, 11:36 am
In re Wachovia Securities, LLC, Wage & Hour Litig., ___ F.Supp.2d ___, 2006 WL 3827559, *1 (Jud. [read post]
29 Dec 2006, 10:44 am
In addition, Wachovia Capital Markets, LLC and A.G. [read post]
