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https://www.planadviser.com/finra-fines-wachovia-1-4-million-for-prospectus-delivery/
Jun 25, 2009 · On December 1, 2005, the Securities and Exchange Commission (SEC) adopted a new set of prospectus delivery rules that established an “access equals delivery” standard for many, but not all, securities (including mutual funds and ETFs). In settling this matter, Wachovia Securities neither admitted nor denied the charges.
https://www.lexology.com/library/detail.aspx?g=25f6cbd1-0ec0-488c-8290-f792e09cf2f7
Jul 06, 2009 · The Financial Industry Regulatory Authority (FINRA) announced that it has fined Wachovia Securities $1.4 million for prospectus delivery failures and related supervisory violations.
https://www.finra.org/media-center/news-releases/2009/finra-fines-wachovia-securities-14-million-prospectus-delivery-failures
— The Financial Industry Regulatory Authority (FINRA) announced today that it has 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.
https://www08.wellsfargomedia.com/assets/pdf/about/investor-relations/preferred-stock/series-l.pdf
Wachovia Capital Markets, LLC and Wachovia Securities, LLC each conduct business under the name “Wachovia Securities.” Any reference in this prospectus supplement to “Wachovia Securities” means Wachovia Capital Markets, LLC and not Wachovia Securities, LLC, unless otherwise mentioned or unless the context requires otherwise.
https://www.businesswire.com/news/home/20090625005656/en/FINRA-Fines-Wachovia-Securities-1.4-Million-Prospectus
Jun 25, 2009 · WASHINGTON--(BUSINESS WIRE)--The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Wachovia Securities, LLC of St. Louis $1.4 million for its failure to deliver...
https://www08.wellsfargomedia.com/assets/pdf/about/investor-relations/preferred-stock/wachovia-capital-trust-iii.pdf
NEITHER THE DELIVERY OF THIS PROSPECTUS NOR ANY SALE MADE HEREUN- DER SHALL, UNDER ANY CIRCUMSTANCES, CREATE ANY IMPLICATION THAT THERE HAS BEEN NO CHANGE IN THE AFFAIRS OF WACHOVIA OR THE TRUST SINCE THE DATE HEREOF OR THAT THE INFORMATION HEREIN IS CORRECT AS OF ANY TIME SUBSEQUENT TO ITS
https://www.sec.gov/Archives/edgar/data/36995/000119312508021374/d424b2.htm
Neither the delivery of this prospectus supplement nor sale of the Series K Preferred Stock means that information contained in this prospectus supplement or the accompanying prospectus is correct after their respective dates. ... Wachovia Corporation . Wachovia is a financial holding company organized under the laws of North Carolina and ...
https://www.sec.gov/Archives/edgar/data/36995/000119312508082697/d424b2.htm
When acquiring any securities discussed in this prospectus supplement, you should rely only on the information provided in this prospectus supplement and the accompanying prospectus, including the information incorporated by reference. Neither Wachovia nor any underwriters or agents have authorized anyone to provide you with different information.
https://www.lexology.com/library/detail.aspx?g=ed23a90f-2296-44a8-8b00-a43d4b72e921
Brokers fined for inadequate supervision of prospectus delivery ... system and written procedures to supervise compliance with prospectus delivery requirements. ... fines Wachovia Securities for ...Author: Jay G. Baris
https://www.wellsfargo.com/
Wells Fargo Advisors is a trade name used by Wells Fargo Clearing Services, LLC (WFCS) and Wells Fargo Advisors Financial Network, LLC, Members SIPC, separate registered broker-dealers and non-bank affiliates of Wells Fargo & Company.
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