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Violation Tracker Individual Record

Company: Wachovia Securities, LLC
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: $309,000
Year: 2009
Date: April 9, 2009
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: 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
Facility State: Delaware
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)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.