Search for: "Wachovia Securities, Inc."
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9 Jan 2012, 12:58 am
Among other things, the year’s settlements included the largest settlement yet as part of the wave of litigation, the $627 million settlement in Wachovia Preferred Securities Litigation. [read post]
28 Aug 2022, 9:45 am
From February 2002 through October 2004, Serizawa was registered with Wachovia Securities, LLC. [read post]
16 Jul 2007, 4:34 pm
(See NASD News Release: NASD Fines Wachovia Securities $2 Million for Fee-Based Account Violations, June 21, 2007). [read post]
23 Aug 2018, 5:13 am
From October 1999 to December 2004, Gann was registered with Wachovia Seucirites, LLC. [read post]
3 Dec 2018, 6:45 pm
Mark Tudor has also worked for the following firms: Morgan Keegan & Company, Inc., Winter Park, FL — March 13, 2009 until February 13, 2013 Wachovia Securities, LLC, Orlando, FL — October 1, 2000 until March 17, 2009 First Union Brokerage Services, Inc., Charlotte, NC — December 19, 1997 until October 1, 2000 Chatfield Dean & CO., Inc, Greenwood Village, CO — January 17, 1997 until October 20, 1997 Mark Tudor has 5… [read post]
14 Nov 2011, 2:13 pm
Morganandnbsp;for misleading investors as to a collateralized debt obligation (CDO) as the housing market deteriorated, and actions against Wachovia Capital Marketsandnbsp;for misconduct in the sale of two CDOs tied to the performance of residential mortgage-backed securities. [read post]
31 Mar 2010, 9:37 am
The banks named as co-conspirators include JP Morgan Chase & Co, UBS AG, Lehman Brothers Holdings Inc., Bear Stearns Cos., Bank of America Corp, Societe General, Wachovia Corp (bought by Wells Fargo), former Citigroup Inc. unit Salomon Smith Barney, and two General Electric financial businesses. [read post]
5 Aug 2008, 3:36 pm
For more information on ARS losses, read the following Wall Street Journal articles below: Citigroup May Face Auction-Rate Suit Cuomo Threatens Charges of Fraud, Destroying Evidence By AMIR EFRATI August 2, 2008; Page B7 New York state's attorney general, Andrew Cuomo, threatened on Friday to sue Citigroup Inc. for alleged fraud in the marketing and sales of auction-rate securities and for destroying evidence after being subpoenaed by his office. … [read post]
17 Sep 2007, 1:25 am
Securities LitigationU.S. [read post]
16 Jul 2008, 9:25 pm
Edwards & Sons, Inc., Piper Jaffray & Co., SunTrust Capital Markets Inc., Wachovia Capital Markets, LLC, and Bank of America Securities LLC. [read post]
10 Dec 2009, 3:09 am
Wachovia Bank, Inc.: granting a motion to dismiss fiduciary duty claims and unfair and deceptive practices claim by bank customer against the bank for alleged mismanagement of securities investments. [read post]
23 Feb 2012, 4:30 am
While not a construction case, Wachovia Securities, LLC v. [read post]
26 Dec 2011, 1:02 am
See Wachovia Bank v. [read post]
1 Nov 2019, 5:49 am
Cohen is registered as both a Broker and an Investment Advisor, and has been registered at the following firms: Stifel, Nicolaus & Company, Inc., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
1 Nov 2019, 5:49 am
Cohen is registered as both a Broker and an Investment Advisor, and has been registered at the following firms: Stifel, Nicolaus & Company, Inc., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
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]
24 Jul 2007, 2:06 pm
Wachovia, which placed just behind Merill at fifth in the survey, is in the process of acquiring A.G. [read post]
16 Jan 2012, 4:42 pm
Walter Louis Howerton formerly with Wachovia Securities, LLC, in Modesto, California, was fined $12,500 and suspended from association with any FINRA member for six months in connection with a finding that he made unsuitable recommendations related to a customer's account. [read post]
29 Sep 2010, 6:37 am
Wachovia Bank N.A. [read post]
17 Nov 2008, 11:00 pm
Weiss, Wachovia Securities Inc. [read post]
