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Violation Tracker Individual Record

Company: Wachovia Securities
Current Parent Company: Wells Fargo
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Recap of Ownership Changes:  subscribe to see this data field
Penalty: $1,005,000
Year: 2009
Date: March 31, 2009
Offense Group: employment-related offenses
Primary Offense: benefit plan administrator violation
Secondary Offense: pension ERISA violation
Level of Government: federal
Action Type: private litigation
Court: District of New Jersey
Civil or Criminal Case: civil
Case ID: 2:06-cv-04681
Case Name: SERIO et al v. WACHOVIA SECURITIES, LLC et al
Private Lawsuit Resolution Type: settlement
HQ Country of Current Parent: USA
HQ State of Current Parent: California
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking
Source of Data: (click here)
Link to PACER Case Docket (must be logged in): (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.