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: Securities Law Prof Blog

FINRA Fines Wachovia for Customer Notification Violations

By Securites Lawprof

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FINRA announced that it fined Wachovia Securities, LLC and First Clearing, LLC, both of St. Louis, MO, $1.1 million for the firms' failure to provide more than 800,000 required notifications to customers over a five-year period ending in 2008. As...

Full post as published by Securities Law Prof Blog on March 24, 2009 (boomark / email).

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