{"id":4634,"date":"2008-07-17T14:08:38","date_gmt":"2008-07-17T14:08:38","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2008\/07\/securities_regulators_arrive_a"},"modified":"2021-11-12T13:09:16","modified_gmt":"2021-11-12T19:09:16","slug":"securities-regulators-arrive-a","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/securities-regulators-arrive-a\/","title":{"rendered":"Securities Regulators Arrive At Wachovia Securities Headquarters to Conduct Auction-Rate Securities Investigation"},"content":{"rendered":"

\t\t\t\tIn St. Louis, Missouri, 10 securities regulators probing the auction-rate securities crisis arrived at Wachovia Securities today. The firm has reportedly failed to fully comply with requests related to the investigation, which is what prompted the onsite visit.<\/p>\n

The investigators, from Missouri, Massachusetts, New Jersey, Illinois, Pennsylvania, and other US states, arrived to conduct interviews and demand documents regarding Wachovia’s marketing and sales practices. <\/p>\n

The Missouri Securities Division investigation into Wachovia Securities began last April, and the office of Missouri Secretary of State Robert Carnahan has subpoenaed over a dozen Wachovia Securities executives and agents in search of more information related to the company’s auction-rate securities business. Carnahan says that hundreds of Missouri investors have contacted her office frustrated that they cannot access their money. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

In St. Louis, Missouri, 10 securities regulators probing the auction-rate securities crisis arrived at Wachovia Securities today. The firm has reportedly failed to fully comply with requests related to the investigation, which is what prompted the onsite visit. The investigators, from Missouri, Massachusetts, New Jersey, Illinois, Pennsylvania, and other US states, arrived to conduct interviews […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3865,3821],"tags":[],"class_list":["post-4634","post","type-post","status-publish","format-standard","hentry","category-auction-rate-securities","category-wachovia"],"yoast_head":"\nSecurities Regulators Arrive At Wachovia Securities Headquarters to Conduct Auction-Rate Securities Investigation — Investor Lawyers Blog — July 17, 2008<\/title>\n<meta name=\"description\" content=\"In St. Louis, Missouri, 10 securities regulators probing the auction-rate securities crisis arrived at Wachovia Securities today. The firm has reportedly — July 17, 2008\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/securities-regulators-arrive-a\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Securities Regulators Arrive At Wachovia Securities Headquarters to Conduct Auction-Rate Securities Investigation — Investor Lawyers Blog — July 17, 2008\" \/>\n<meta name=\"twitter:description\" content=\"In St. Louis, Missouri, 10 securities regulators probing the auction-rate securities crisis arrived at Wachovia Securities today. 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