Violation Tracker Individual Record
Company:
A.G. Edwards & Sons, Inc.
Current Parent Company:
Wells Fargo
Penalty:
$125,000
Year:
2006
Date:
May 31, 2006
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Violation Description:
The Securities and Exchange Commission announced the settlement of proceedings against 15 broker-dealer firms for engaging in violative practices in the auction rate securities market.
Level of Government:
federal
Action Type:
agency action
Agency:
Securities and Exchange Commission
Civil or Criminal Case:
civil
HQ Country of Parent:
USA
HQ State of Parent:
California
Ownership Structure of Parent:
publicly traded
Major Industry of Parent:
financial services
Specific Industry of Parent:
banking
Source of Data:
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.