Search for: "Wachovia Securities, LLC"
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2 May 2011, 11:23 pm
Allen Michael Kay, formerly with Wachovia Securities, LLC in Bermuda Dunes, California, was suspended from association with any FINRA member for one year and fined $50,000 in connection with misleading risk-averse customers to invest in mutual funds that did not comply with their investment objectives or risk tolerance. [read post]
7 Apr 2011, 10:56 pm
According to the SEC, Wachovia Capital Markets LLC, now called Wells Fargo Securities, violated securities law anti-fraud provisions when it sold the complex mortgage-backed securities to investors despite the red flags indicating that there was trouble brewing with the US housing market. [read post]
6 Apr 2011, 11:28 am
The United States Securities and Exchange Commission announced that Wells Fargo Securities LLC consented to an $11.2 million fine in connection with the sale of collateralized debt obligations (CDOs) in late 2006 and early 2007. [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]
25 Mar 2011, 1:21 pm
The Fifth Circuit seems to have won a reputation for using “license” to toughen class certification standards, at least in securities law cases.[7] Pleading: How has the Twombly pleading test impacted antitrust class certification cases? [read post]
8 Mar 2011, 1:08 am
The PJ Finance companies have obtained a commitment from Gaia Real Estate Investments, LLC to invest $42 million of new equity into the debtors, but have not been successful in engaging the servicers on the secured debt (Wachovia Bank and Torchlight Loan Services) in discussions on a consensual restructuring of the debt. [read post]
7 Mar 2011, 12:17 pm
The same is true in all other cases, including pending cases against the issuers and underwriters or FannieMae, FreddieMac, American Home Mortgage, and the countless issues of the preferred and debt securities of Wachovia, Merrill Lynch, Morgan Stanley, and others, including Charles Schwab (YieldPlus). [read post]
28 Nov 2010, 12:49 am
Wachovia Securities, LLC v. [read post]
29 Sep 2010, 6:37 am
Wachovia Bank N.A. [read post]
28 Jul 2010, 4:02 pm
Wachovia Securities, LLC, 606 F. [read post]
8 Jul 2010, 12:15 pm
Lehman and Merrill were lead underwriters of the Fannie offering, with Goldman, Merrill, Bank of America, Bear Stearns, Citi, Deutsche Bank, Morgan Stanley and Wachovia under them. [read post]
27 Apr 2010, 3:01 pm
Superior Construction Corp., Wachovia was the construction lender and Superior was the general contractor on "The Preserve," a condominium development in Brunswick County that was owned by Intercoastal Living, LLC, now in receivership. [read post]
16 Mar 2010, 1:14 am
Zehil pleaded guilty to securities fraud and conspiracy to commit securities fraud before a New York federal judge. [read post]
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]
19 Jan 2010, 11:39 am
In August of 2008, one of Wachovia's traders invested $62.8 million of the California Earthquake Authority's money in an investment known as Mainsail II, LLC; an entity consisting mainly of securities back by suprime residential and commercial mortgages. [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]
30 Dec 2009, 9:08 am
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [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]
