Search for: "Wachovia Securities, LLC"
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31 Dec 2015, 12:09 pm
“This case is going to be watched carefully by everyone who does dispute arbitration,” Peiffer says.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [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]
27 Oct 2015, 2:11 pm
On October 19, 2015, Barclays PLC and Wachovia Capital Markets LLC agreed to pay $325 million and $53 million, respectively, to settle claims brought by the National Credit Union Administration Board (NCUA), as liquidating agent of five credit unions, regarding residential mortgage backed securities purchased by those credit unions. [read post]
7 Oct 2015, 7:26 am
From 2002, until August 2008, Gillis was associated with Wachovia Securities, 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]
5 Aug 2015, 8:42 am
Wachovia Securities, LLC, Respondent (FINRA Arbitration 08-00501, August 3, 2015). [read post]
3 Feb 2015, 2:59 pm
He worked with MetLife Securities from 06/2007 – 10/2007, Wachovia Securities from 10/2007 – 12/2008, J.B. [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]
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]
10 Mar 2014, 10:55 am
Wells Fargo Advisors, LLC (f/k/a Wachovia Securities, LLC) Respondent is liable and shall pay to Claimant compensatory damages of $2,298,062.00 which includes prejudgment interest through May 17, 2013 at the legal rate provided by Florida law. [read post]
6 Feb 2014, 7:35 am
In January, 2009, Wife was wooed by Wachovia Securities, LLC to serve as a client financial advisor and a managing director of investments. [read post]
13 Dec 2013, 7:52 am
In May 2006, a JFA associated entity, DDL LLC, and Freed Illinois Holdings LLC entered into agreements with the bank consortium, now led by Bank of America, for a revolving line of credit up to $150 million. [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]
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]
12 Jul 2012, 4:18 pm
Evergreen is Wachovia’s investment management business and part of Wells Fargo (WFC). [read post]
25 May 2012, 2:53 pm
In particular, Schlesinger (Claimant) alleged that he was fraudulently induced to join Wachovia Securities by a couple of promises. [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]
27 Mar 2012, 3:17 pm
See Wachovia Securities, LLC v.Brand, No. 10-2111 (4th Cir. [read post]
23 Mar 2012, 10:14 am
LLC v. [read post]
