Search for: "Wachovia Capital Markets, LLC"
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6 Apr 2011, 11:28 am
Wachovia Capital Markets decided not to proceed with the other CDO due to market conditions. [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]
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]
27 Oct 2015, 2:11 pm
On October 19, 2015, Barclays PLC and Wachovia Capital Markets LLC agreed to pay $325 million and $53 million, respectively, to settle claims brought by the National Credit Union Administration Board (NCUA), as liquidating agent of five credit unions, regarding residential mortgage backed securities purchased by those credit unions. [read post]
7 Apr 2011, 10:56 pm
For a payment of $11.2 million, Wells Fargo & Co. will settle US Securities and Exchange Commission allegations that Wachovia Capital Markets LLC misled investors and improperly sold two collateralized debt obligations in 2007 and 2006. [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]
3 Apr 2017, 2:27 pm
Paul Oetken granted Defendants Wells Fargo Securities LLC (“Wells Fargo“), f/k/a Wachovia Capital Markets LLC (“Wachovia“), and Fortis Securities LLC’s motion for summary judgment, dismissing the remaining causes of action and closing the case in LBBW Luxemburg S.A. v. [read post]
10 Jun 2019, 2:05 pm
On June 3, the Federal Housing Finance Agency (FHFA), as conservator for the Federal Home Loan Mortgage Corporation (Freddie Mac), filed a lawsuit in the United States District Court for the Southern District of New York against Wells Fargo Securities, LLC (Wells Fargo) (as successor to Wachovia Capital Markets, LLC (Wachovia)), alleging a violation of Section 11 of the Securities Act. [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]
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]
7 Oct 2009, 7:00 am
Wachovia Bank. [read post]
1 Dec 2011, 5:03 am
(“Wachovia Bank”) and Wachovia Capital Markets, LLC (“WCM”) (collectively “Wachovia”) sued VCG Special Opportunities Master Fund, Ltd., (“VCG”) in connection with a credit default swap (or “CDS”) transaction.Wacovia asserted that there was no arbitration agreement between VCG and Wacovia Bank. [read post]
27 Apr 2022, 9:22 am
His previous employers include RBC Capital Markets, LLC (CRD#:31194) and Ferris, Baker Watts, LLC (CRD#:285), also of Richmond, and Wachovia Securities, LLC (CRD#:19616) of St. [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]
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]
17 Sep 2008, 4:28 pm
Over the past year, various money market funds have actually seen their assets' value fall below $1/share but money market fund sponsors have provided capital infusions to avoid the money market funds' "breaking the buck. [read post]
30 Dec 2009, 9:08 am
Such a withdrawal of market support caused the auction rate securities market to freeze. [read post]
14 Jun 2011, 9:39 pm
., No. 29951-10, the New York Supreme Court says that insurance company MBIA can sue Morgan Stanley and affiliates Saxon Mortgage Services Inc. and Morgan Stanley Mortgage Capital Holdings LLC for alleged misrepresentations about the risks involved in insuring residential mortgages that were sold to investors as mortgage-backed securities. [read post]
12 Jun 2019, 12:00 pm
While several banks underwrote the securities, the investor fraud case is targeting Wachovia Capital Markets, LLC, an ex-Wachovia brokerage firm, that is now Wells Fargo Securities, LLC. [read post]
22 Dec 2008, 5:18 pm
The SEC is also waiting to finalize the settlements-in-principle it reached with Merrill Lynch, Bank of America, Wachovia, and RBC Capital Markets. [read post]
