Search for: "WACHOVIA FINANCIAL SERVICES, INC."
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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]
29 Sep 2008, 7:39 am
Wachovia has a loyal and largely affluent banking clientele, and a sizable business of offering investment services to clients through financial advisors. [read post]
2 Feb 2021, 7:25 am
CRD#: 1927831) is a former registered broker and investment advisor whose last known employer was Woodbury Financial Services, Inc. [read post]
26 Apr 2011, 10:42 am
For publication opinions today (2): In Wachovia Financial Services, Inc. v. [read post]
31 May 2007, 9:45 am
Prudential Financial Inc. continues to own 38% of Wachovia. [read post]
8 Dec 2011, 1:45 pm
Morgan Securities LLC (a $228 million settlement in July 2011), UBS Financial Services Inc. [read post]
17 Jun 2020, 2:05 pm
Before joining Kestra in 2015, Daughtry worked for Ameriprise Financial Services, Securities America, Sterne Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities Corporation. [read post]
14 Oct 2008, 12:54 pm
After MetLIfe announced that it expects to report $600M in operating earnings for the third quarter of 2008, Prudential Financial Inc. [read post]
9 Jul 2009, 3:05 am
" The case is Bank of America Investments Services, Inc. v. [read post]
26 Jul 2011, 4:29 pm
The National Credit Union Administration has filed a $629 million securities fraud lawsuit against RBS Securities, Wachovia Mortgage Loan Trust LLC, Nomura Home Equity Loan Inc., Greenwich Capital Acceptance Inc., Lares Asset Securitization Inc., IndyMac MBS Inc., and American Home Mortgage Assets LLC. [read post]
2 Jul 2007, 11:32 am
(See NASD News Release: NASD Fines Raymond James Financial Services, Inc. $2.75 Million for Lax Supervision of Producing Branch Managers, February 21, 2007). [read post]
28 Aug 2022, 9:45 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Daryl Tomobu Serizawa, currently employed by Woodbury Financial Services, Inc., has been subject to at least three customer complaints during his career. [read post]
23 Dec 2011, 8:57 am
Attorney General George Jepsen today announced a $34.25 million multistate settlement with GE Funding Capital Market Services, Inc. [read post]
7 Oct 2021, 12:18 pm
He was previously employed with Wachovia Securities, LLC (CRD#:19616), also of Boca Raton, UBS Financial Services Inc. [read post]
6 Feb 2018, 7:33 am
Ameriprise Financial Services, Inc. [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]
25 Jul 2008, 2:47 pm
The New York Attorney General filed a civil complaint yesterday against UBS Securities LLC and UBS Financial Services, Inc. alleging that UBS "committed a multi-billion dollar consumer and securities fraud on the investing public by falsely selling securities facing mounting liquidity risk as cash equivalents. [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]
21 Mar 2014, 9:49 am
Hanauer & Co from 12/2008 – 09/2009, Wachovia Securities from 10/2007 – 12/2008, and Metlife Securities Inc from 06/2007 -10/2007. [read post]
8 Mar 2011, 1:08 am
The companies owe over $475 million to secured creditors pursuant to a November 2006 loan agreement with Column Financial, Inc. [read post]
