Violation Tracker Individual Record
Date:November 4, 2004
Primary Offense:investor protection violation
Wachovia Corporation agreed to pay $37 million to settle allegations of violations of proxy disclosure and other reporting requirements in connection with the 2001 merger with First Union Corporation.
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
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