Violation Tracker Individual Record
Company:Wachovia Securities, LLC
Date:April 9, 2009
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
Private Lawsuit Resolution Type:settlement
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 Notes:If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.