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WACHOVIA SECURITIES FINANCIAL NETWORK LLC

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9A2005013001 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Wachovia Securities, LLC (f/k/a First Union Securities, Inc.), Respondent Member Firm BD No. 19616 Wachovia Securities Financial Network, LLC (f/k/a First Union Securities Financial Network, Inc.), Respondent Member Firm BD No. 11025 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Wachovia Securities, LLC

    Reference E9A2005013001data-portal.finra.orgfinra.org

Other names1

Also known as1

FIRST UNION SECURITIES FINANCIAL NETWORK INC.

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