Search for: "Wachovia Financial Services Inc."
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7 Mar 2011, 12:17 pm
Securities America is owned by Ameriprise Financial Services, which reported a profit of $1.1 billion in 2010 on revenue of nearly $10 billion. [read post]
28 Nov 2010, 12:49 am
Sims & Co., Inc. v. [read post]
24 Nov 2010, 1:28 am
Wachovia Bank (N.D. [read post]
12 Aug 2010, 8:46 am
– the bank hired a top commercial banker from SunTrust Banks Inc., a regional bank based in Atlanta, to woo corporate customers. [read post]
11 Aug 2010, 8:02 am
This is what happens when survivors buy expirers Much of the gain came from their acquisitions of Countrywide Financial Corp., Washington Mutual Inc. and Wachovia Corp., respectively. [read post]
5 Jan 2010, 11:56 am
In another case, a FINRA arbitration panel ordered StockCross Financial Services, Inc. and two brokers to pay approximately $319,000 in compensatory damages, about $959,000 in damages for elder abuse, as well as about $234,000 in attorney's fees plus additional sums for costs, in a case where an elderly investor alleged that the brokers recommended unsuitable and overly risky investments for him, including recommending that he leverage the equity in his… [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]
2 Sep 2009, 9:30 am
Wachovia Sec., LLC, Civ. [read post]
9 Jul 2009, 3:05 am
" The case is Bank of America Investments Services, Inc. v. [read post]
1 Jun 2009, 9:10 pm
Inc., Royal Bank of Canada, Morgan Stanley, Wachovia Corp, and UBS AG. [read post]
1 Jun 2009, 4:19 am
Queen City Television Services Co. v. [read post]
14 May 2009, 1:39 am
The May 11 order also approved a final settlement in which Prudential Financial Inc., whose retail brokerage division was sold to Wachovia in 2003, agreed to pay $11 million to former stock brokers. [read post]
28 Apr 2009, 11:04 am
"Several financial-service companies that issued auction-rate debt have agreed to repurchase billions of dollars of the devalued securities to settle claims by regulators that they defrauded investors.Last month, Wachovia Corp., which Wells Fargo acquired last year, agreed to repurchase $1.5 billion of the securities from California investors in a settlement with the state Department of Corporations that also included a division of Citigroup Inc. [read post]
7 Apr 2009, 5:53 am
It’s not easy to contact a mortgage servicer. [read post]
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]
2 Jan 2009, 8:22 am
Wachovia Bank N.A. v. [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]
4 Nov 2008, 2:47 am
Look no further than PNC Financial Services Group Inc. [read post]
1 Nov 2008, 3:12 am
(Post Grant Opposition) 'In US, expert witnesses are partisan' article by Adam Liptak (Philip Brooks' Patent Infringement Updates) Seventh Circuit's American Jury Project (Chicago IP Litigation Blog) (Chicago IP Litigation Blog) US General - Decisions Merrill Lunch & Co brokerage arm wins partial injunction against former financial advisor Sharon M Kurgis accused of stealing clients (Law360) US General - Lawsuits and strategic steps American Power… [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]
