Violation Tracker Individual Record
Company:Wachovia Capital Markets LLC
Date:May 10, 2007
Offense Group:financial offenses
Primary Offense:investor protection violation
Wachovia agreed to pay $24.65 million to a group of state to resolve allegations relating to potential conflicts of interest for its research analysts.
Level of Government:state
Action Type:agency action
Agency:Multistate Financial Regulators Case
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
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