Search for: "Wachovia Securities Inc"
Results 1 - 20
of 149
Sorted by Relevance
|
Sort by Date
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]
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]
22 Feb 2005, 12:40 pm
[JURIST] Leading Tuesday's corporations and securities law news, supermarket giant Winn-Dixie Stores Inc. [read post]
23 Feb 2012, 9:18 am
Inc. [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]
13 Aug 2007, 4:00 pm
First Union Securities, Inc. available here in pdf or word format. [read post]
5 Oct 2011, 3:17 pm
Edwards & Sons, Inc. and its successor firms, Wachovia Securities, LLC and Wells Fargo Advisors, LLC. [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]
1 Oct 2015, 7:46 am
Morgan Securities LLC, Chase Investment Securities Corp., Wachovia Securities, Morgan Stanley DW, Inc., Prudential Securities, Inc. and Whale Securities Co., L.P., according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
9 Apr 2010, 10:00 pm
American Pallet Leasing, Inc. [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]
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]
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]
24 Apr 2012, 8:45 am
The Award against Wachovia Securities, Inc., now known as Wells Fargo Advisors ("Wachovia"), was for far less than Grayson requested. [read post]
24 Apr 2012, 8:45 am
The Award against Wachovia Securities, Inc., now known as Wells Fargo Advisors ("Wachovia"), was for far less than Grayson requested. [read post]
31 May 2007, 9:45 am
Prudential Financial Inc. continues to own 38% of Wachovia. [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]
24 Nov 2013, 3:35 pm
In this version, she proposed to add Assurant, Inc., ASI's parent company, as a defendant. [read post]
8 Dec 2011, 1:45 pm
Morgan Securities LLC (a $228 million settlement in July 2011), UBS Financial Services Inc. [read post]
15 Jan 2019, 7:43 am
Previous employment includes Wachovia Securities, LLC from January 2001 to October 2003, Prudential Securities Incorporated from April 1993 to January 2001, Lehman Brothers Inc. from August 1985 to April 1993 and McLaughlin, Piven, Vogel Inc. from January 1985 to August 1985. [read post]
