ERC721

The Financial Industry Regulatory Authority fined Wachovia Securities, LLC of St. Louis $1.4 million for its failure to deliver prospectuses and product descriptions to customers who purchased various investment products from July 2003 through December 2004 and for related supervisory failures. For more info visit https://www.finra.org/media-center/news-releases/2009/finra-fines-wachovia-securities-14-million-prospectus-delivery-failures

Name

1165

Owner

0xdA1a941f2256469411f18170794bfC770078171B

ID#1165

Rarity

X-LO:86%

Parent Company

Wells Fargo

X-HI:6%

Company

Wachovia Securities, LLC

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$1,400,000.00

EX:MAX

Year

2009