Search for: "Wachovia Securities Inc"
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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]
24 Dec 2019, 10:49 am
His previous employers include National Securities Corporation (CRD#:7569), also of Boca Raton, Fl, Jesup & Lamont Securities CORP (CRD#:39056, expelled by FINRA on 11/04/2010), and Wachovia Securities, LLC (CRD#:19616), both of Fort Lauderdale, FL. [read post]
7 Aug 2007, 11:03 am
(See NASD News Release: NASD Fines Wachovia Securities $2 Million for Fee-Based Account Violations, June 21, 2007). [read post]
29 Aug 2008, 9:14 pm
Google Inc., Bed Bath & Beyond Inc., and Starbucks Corp., among other companies, purchased auction-rate securities because they were led to believe such securities were cash equivalents and were not advised of material facts regarding auction-rate securities, the auction-rate securities markets and the auction process. [read post]
23 Dec 2011, 8:57 am
Securities and Exchange Commission, the U.S. [read post]
25 Sep 2009, 7:54 am
Defendants include, but are not limited to, Merrill Lynch & Co., Inc., Morgan Stanley, JP Morgan Chase & Co., Bear Stearns & Co., Inc., AIG Financial Products Corp., UBS AG, and Piper Jaffray & Co. [read post]
9 Jul 2009, 3:05 am
Both Byrd and Harris resigned from Bank of America (BOA) to join Wells Fargo Advisors, formerly known as Wachovia Securities, LLC ("Wachovia"). [read post]
17 Apr 2007, 8:27 pm
Alafabco, Inc., 539 U. [read post]
7 Mar 2011, 12:17 pm
In 2009, the Securities and Exchange Commission charged Medical Capital Holdings Inc. and its founders last summer with securities fraud. [read post]
16 Aug 2010, 9:17 pm
Many of these securities victims were clients of large brokerage firms, such as UBS, Citigroup Smith Barney, Wachovia, Linsco Private Ledger LPL, Merrill Lynch, UBS, ING, Stifel, and Gun Allen. [read post]
11 Jul 2018, 2:13 pm
From August 2006 to November 2008, Destefano was registered with Wachovia Securities, LLC. [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]
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]
7 Oct 2011, 9:01 am
He was also ordered to pay about $1.1 million in restitution and to forfeit Merrill Lynch and Wachovia Bank accounts, as indicated by FINRA public disclosure records. [read post]
28 Mar 2010, 8:11 am
BROWN, Bankruptcy JudgeDennis and Jessica Haskins (the "Debtors") seek to limit the amount of the allowed claim of Wachovia Dealer Services, Inc. [read post]
4 Aug 2023, 7:34 am
Wachovia Securities, Inc. [read post]
3 Dec 2015, 7:45 am
From July 2003 through July 2008, Wuhl was a registered representative of Wachovia Securities, LLC. [read post]
18 Jan 2016, 7:09 am
From October 1999 until March 2009, Slater was associated with Wachovia Securities, LLC. [read post]
1 Jun 2009, 4:19 am
(Yadkin)(Tennille): securities claims regarding bonds issued by plaintiff and sold by Wachovia and also claims involving an interest rate swap agreement. [read post]
24 Sep 2009, 10:37 am
The firm, which later became part of Wachovia Securities, paid $600 million in 2006 to settle market-timing charges with federal and state securities regulators. [read post]
