Violation Tracker Individual Record
Company:Wachovia Securities, LLC
Date:April 9, 2009
Offense Group:financial offenses
Primary Offense:investor protection violation
Wachovia Securities was fined $309,000 for misleading investors about the safety of auction rate securities.
Level of Government:state
Action Type:agency action
Agency:Delaware Attorney General
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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