Search for: "Wachovia Securities, LLC"
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22 Jul 2008, 8:13 pm
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]
1 May 2014, 6:45 am
In today's BrokeAndBroker.com Blog installment of the old employee forgivable loan ("EFL") saga, we consider the repayment obligation of a former Citigroup rep who received three EFLs, the first in the form of a bonus in 2008 for moving his book over to Wachovia Securities, LLC, which ultimately morphed into Wells Fargo Advisors, LLC. [read post]
12 May 2008, 8:53 am
Wachovia has announced that its securities unit has received subpoenas from the SEC and various state regulators regarding its auction-rate securities practices. [read post]
3 Apr 2017, 2:27 pm
Paul Oetken granted Defendants Wells Fargo Securities LLC (“Wells Fargo“), f/k/a Wachovia Capital Markets LLC (“Wachovia“), and Fortis Securities LLC’s motion for summary judgment, dismissing the remaining causes of action and closing the case in LBBW Luxemburg S.A. v. [read post]
23 Feb 2012, 9:18 am
Wachovia has since been renamed Wells Fargo Advisors, 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 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]
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]
17 Mar 2009, 7:40 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]
10 Jun 2019, 2:05 pm
On June 3, the Federal Housing Finance Agency (FHFA), as conservator for the Federal Home Loan Mortgage Corporation (Freddie Mac), filed a lawsuit in the United States District Court for the Southern District of New York against Wells Fargo Securities, LLC (Wells Fargo) (as successor to Wachovia Capital Markets, LLC (Wachovia)), alleging a violation of Section 11 of the Securities Act. [read post]
3 Dec 2007, 9:26 am
On November 28, 2007, FINRA announced it had fined Wachovia Capital Markets, LLC, $300,000 for violating research analyst conflict of interest disclosure rules. [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]
11 Aug 2008, 9:20 pm
" 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]
8 Dec 2011, 8:02 pm
Wells Fargo Pays $148 Million to Settle Wachovia Muni Bid-Rigging Charges, Bloomberg, December 8, 2011 Wells Settles Wachovia Bid-Rig Case, Wall Street Journal, December 9, 2011 More Blog Posts: Bank of America’s Merrill Lynch Settles for $315 million Class Action Lawsuit Over Mortgage-Backed Securities, Institutional Investor Securities Blog, December 6, 2011 Former US Treasury Secretary Henry Paulson Told Hedge Funds About Fannie Mae and Freddie Mac… [read post]
15 Jan 2019, 7:19 am
Previous employment included Wells Fargo Advisors, LLC from Jan 2008 to November 2011, Wachovia Securities, LLC from January 2008 to May 2009 and A. [read post]
8 Dec 2011, 1:45 pm
Morgan Securities LLC (a $228 million settlement in July 2011), UBS Financial Services Inc. [read post]
2 Nov 2012, 7:08 am
Dawn Wiley was associated with Wells Fargo Advisors, LLC and its predecessor Wachovia Securities LLC from 2000 until her termination on January 3, 2012. [read post]
9 Feb 2009, 3:09 pm
., Wells Fargo Securities, LLC, Bank of America Securities LLC, Merrill Lynch & Co. [read post]
9 Nov 2021, 12:46 pm
(CRD#:36719), of Westport, CT, and Wachovia Securities, LLC (CRD#:19616) of St. [read post]
