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Wachovia Securities, Inc.

Wachovia Securities, Inc. (CRD #431, Charlotte, North Carolina) received a censure and fine of $35,000. According to the findings, the firm's supervisory system failed to detect unsuitable activity in the accounts of public customers. Apparently, the firm failed to follow its written supervisory procedures pertaining to the review and monitoring of customer account activity. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C07020001)

Did Wachovia Securities, Inc. manage your investments?

 

 

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