ERC721

The Financial Industry Regulatory Authority fined two Wachovia units more than $4.5 million for violations related to the sales of mutual funds and Unit Investment Trusts (UIT). For more info visit https://www.finra.org/media-center/news-releases/2009/finra-fines-wachovia-units-more-45-million-failures-relating-trust-and

Name

178

Owner

0x78f0269f5b1Ca914c8c58993f41181f89e212B27

ID#178

Rarity

X-LO:85%

Parent Company

Wells Fargo

X-HI:6%

Company

Wachovia Securities

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$4,500,000.00

EX:1%

Year

2009