Tag Archives: Zuni Indian Tribe

Wells Fargo Securities LLC & Wachovia Capital Markets LLC Fined $11.2 for Fraud

The United States Securities and Exchange Commission announced that Wells Fargo Securities LLC consented to an $11.2 million fine in connection with the sale of collateralized debt obligations (CDOs) in late 2006 and early 2007. The SEC found that Wachovia Capital Markets violated the securities laws by fraudulently charging undisclosed and excessive markups in the […]

Read More »