Wachovia Corp.

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  SEC Orders Advisor With Ties to Wells Fargo to Explain Actions on Doomed CDO

  By Joyce Hanson, AdvisorOne  |  January 20, 2012

  The SEC ordered investment advisor Lisa Premo to answer questions about her alleged part in overstating the NAV of a fund after a CDO went into default in 2008.

• Class Action Suit Costs Wachovia $590 million

  By Melanie Waddell, AdvisorOne  |  August 5, 2011

  In what’s being hailed as among the largest securities class action recoveries, Wachovia has been ordered to pay $590 million in a class-action settlement for losses incurred through purchases of Wachovia bonds and preferred securities between.

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  The New Wirehouse World

  By Janet Levaux, AdvisorOne  |  May 1, 2011

• Morgan Stanley Still Dominates in FA Count; Merrill and UBS Lead in Fees, Assets per Rep

  By Janet Levaux, AdvisorOne  |  September 1, 2010

  The number of Morgan Stanley financial advisors -- including those involved in the joint venture with Smith Barney -- fell by about 50 to 18,087...

• Wachovia's 14,600 FAs to Merge with Wells

  By Janet Levaux, AdvisorOne  |  December 1, 2008

  In the third quarter, Wachovia reports that the number of Series 7 brokers has stayed flat at 14,635. The number of bank, or Series 6,...

• The Changing Landscape

  By Janet Levaux, AdvisorOne  |  November 1, 2008

  As part of Bank of America's planned purchase of Merrill Lynch, BofA Chairman and CEO Ken Lewis has said that Merrill Lynch Chairman and CEO...

• WELLS-WACHOVIA MERGER LIKELY; CITI BOWS OUT (OCT. 9, 2008)

  By Janet Levaux, AdvisorOne  |  October 9, 2008

  Citi announced on October 9 that it had reached no agreement with Wells Fargo following several days of discussions about matters related to Wachovia. The dramatic differences in the parties' transact

• Chief Risk Officer

  By Jane Wollman Rusoff  |  May 1, 2008

  With retirement shaping up as the New Frontier, advisors are being forced to rethink client risk -- and mitigate that risk as never before. It's...

• Wachovia's New Bonus Makes Customer King

  By Janet Levaux, AdvisorOne  |  May 1, 2007

  Wachovia Securities gave its 8,000 advisors a new "lucky" incentive for expanding their fee-based business on March 13: the "4front" bonus plan, which aims to...

• Evergreen Unit Faces NASD Enforcement Action

  By Staff Writer  |  October 21, 2005

  Regulators allege firm directed trades to certain brokers and provided non-cash compensation