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: Securities Law Prof Blog

FINRA Fines Wachovia $1.4 Million for Prospectus Delivery Failures

By Securites Lawprof

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FINRA announced today that it fined Wachovia Securities, LLC $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. FINRA found...

Full post as published by Securities Law Prof Blog on June 25, 2009 (boomark / email).

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