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- A group of 10 state securities regulators are conducting the investigationWSJ.com: Auction-Rate Probe Hits Wachovia (July 17, 2008)
- Regulators are from: Missouri, Illinois, Massachusetts, New Jersey and PennsylvaniaWSJ.com: Auction-Rate Probe Hits Wachovia (July 17, 2008)
- Investigation led by Massachusetts securities regulator
- Missouri Secretary of State: Robin Carnahan
- Carnahan has subpoenaed more than 12 Wachovia Securities employeesWSJ.com: Auction-Rate Probe Hits Wachovia (July 17, 2008)
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In a move to investigate a $330 billion auction rate securities meltdown, federal regulators are conducting a special investigation on Wachovia Securities in St. Louis, Missouri. The investigation was expected by the company. In May 2008, Wachovia officials stated that the institution had received inquiries and subpoenas from regulators apropos to auction-rate securities.MercuryNews.com: Regulators raid Wachovia headquarters in St. Louis (July 17, 2008)
Investigation
July 17, 2008: An on sight investigation was conducted by state and federal regulators at the Wachovia Securities St Louis, Missouri, headquarters. The inspection at the headquarters was prompted when Wachovia failed to comply with a prior investigation by the Missouri Securities Division. Missouri Secretary of State Robin Carnahan also received 70 separate informal complaints by investors unable to access their money.WSJ.com: Auction-Rate Probe Hits Wachovia (July 17, 2008)-
Wachovia Securities Raid Questions
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