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: Securities Law Prof Blog

FINRA Fines Wachovia For Mutual Fund and UIT Suitability Violations

By Securites Lawprof

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FINRA announced today that it has fined two Wachovia units more than $4.5 million for violations related to the sales of mutual funds and Unit Investment Trusts (UIT). Wachovia Securities was fined $4.41 million for its failure to provide investors...

Full post as published by Securities Law Prof Blog on February 12, 2009 (boomark / email).

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