Search for: "Wachovia Securities, LLC"
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2 Nov 2009, 6:45 am
Thompson (Forsyth)(Jolly): claims by holders of Wachovia stock against certain officers and directors of the bank, as well as its auditors, for securities fraud and accounting misstatements relating to the collapse of Wachovia. [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]
29 Mar 2023, 12:33 pm
His previous employers were Wachovia Securities, LLC, (CRD#:19616) of St. [read post]
17 May 2018, 1:47 pm
Schmidt was previously employed at Stifel, Nicolaus & Company, Inc. from 2002 to 2006 and Wachovia Securities Financial Network LLC. from 2006 to 2009 until they merged with Wells Fargo. [read post]
27 Apr 2022, 9:22 am
His previous employers include RBC Capital Markets, LLC (CRD#:31194) and Ferris, Baker Watts, LLC (CRD#:285), also of Richmond, and Wachovia Securities, LLC (CRD#:19616) of St. [read post]
11 Jul 2008, 7:39 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]
20 Jul 2018, 7:18 am
(CRD #249) and Wachovia Securities, LLC (CRD #19616), both of Palm Beach Gardens, FL. [read post]
3 Jan 2008, 5:20 am
Several other lenders, including Wachovia, United Community Bank, Integrity Bank, First Cherokee State Bank, Community Bank of the South and Bank of Woodstock also have significant secured claims. [read post]
20 Jun 2008, 7:33 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]
4 Sep 2008, 7:11 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]
28 Jul 2010, 4:02 pm
Wachovia Securities, LLC, 606 F. [read post]
7 Feb 2010, 6:45 am
A copy of the award is available here.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 advisors. [read post]
7 Feb 2013, 9:41 am
On February 6, 2013, the Financial Industry Regulatory Authority (FINRA) announced that a public customer was awarded an award of full rescission against Wachovia Securities, LLC, doing business as Wells Fargo Advisors, LLC ("Wells Fargo") for the entirety of Fannie Mae Preferred shares recommended by Wells Fargo. [read post]
5 Aug 2015, 8:42 am
Wachovia Securities, LLC, Respondent (FINRA Arbitration 08-00501, August 3, 2015). [read post]
25 Jul 2008, 2:47 pm
The New York Attorney General filed a civil complaint yesterday against UBS Securities LLC and UBS Financial Services, Inc. alleging that UBS "committed a multi-billion dollar consumer and securities fraud on the investing public by falsely selling securities facing mounting liquidity risk as cash equivalents. [read post]
17 Jun 2020, 2:05 pm
Before joining Kestra in 2015, Daughtry worked for Ameriprise Financial Services, Securities America, Sterne Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities Corporation. [read post]
20 Dec 2011, 1:47 pm
A subsidiary of Wells Fargo Bank, Wells Fargo Investments LLC changed its name to Wells Fargo Advisors LLC in March 2010 when it merged with Wachovia Securities LLC at the same time its parent bank merged with Wachovia Bank. [read post]
Evergreen Pays Over $40 Million to Settle SEC Charges that it Overvalued Mortgage-Backed Investments
9 Jun 2009, 10:53 am
Evergreen was a subsidiary of Wachovia at the time of the violation, according to Reuters. [read post]
9 Jun 2009, 2:13 pm
These customers - many were also customers of Evergreen affiliate Wachovia Securities LLC - were also told more adjustments were coming. [read post]
2 Feb 2021, 7:25 am
(CRD#:46214) and LPL Financial Corporation (CRD#:6413), also of Danbury, CT, and Wachovia Securities, LLC (CRD#:19616) of Ossining, NY. [read post]
