Wachovia
License or Case Number:
Date of Initial Action: 07/31/06
Defendants/Respondents: Wachovia Capital Markets, LLC aka Wachovia Securities, LLC
Documents:
- Findings of Fact, Conclusion of Law, Consent Order (Wachovia Capital Markets, LLC) (07/31/06)
- Findings of Fact, Conclusion of Law, Administrative Consent Order (03/09/09)
About the Licensee status
To check the status of this licensee, visit Financial Services and Mortgage Lending Licensees Search.
If you have further questions or need more assistance, please call the DFPI's Consumer Services Office at: 1-866-275-2677.