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STATE OF SOUTH CAROLINA Office of the Attorney General Securities Division In the Matter of )
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Document Date: 2013-09-16 15:16:10

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File Size: 953,14 KB

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City

Charlotte / /

Company

Relevant Period / First Union Corporation / Forum Capital Markets LLC / Prudential Financial Inc. / First Union Capital Markets Corp. / Wachovia Securities Inc. / EVEREN Securities Inc. / Wachovia Capital Markets LLC / Bowles Hollowell Connor & Co. / EVEREN Capital Corporation / New York Stock Exchange / Bloomberg / First Union Securities Inc. / First Call / Corporate Investment Banking / Wachovia Corporation / Prudential Securities Inc. / /

Event

Company Expansion / M&A / Name Change / Business Partnership / Product Issues / /

IndustryTerm

broker-dealer subsidiary / institutional brokerage / wealth management / finance / asset management / non-investment banking activities / e-mail retention technology / investment banking exposure / subscription services / investment banking / investment banking activities / transactional services / investment banking transactions / investment banking products / investment banking deals / financial advisory services / financial advice / banking / retail brokerage operations / potential investment banking opportunities / corporate finance transactions / /

MusicGroup

Butcher / /

Organization

Equity Commitment Committee / Equity New Business Committee / Equity Capital Markets Division / OF SOUTH CAROLINA office / Securities Exchange Commission / NASD / /

Position

underwriter for investment / underwriter for investment banking transactions / Research Analyst / manager status / Wheat First Butcher Singer / underwriter / head / investment banker / broker-dealer / administrator / Attorney General of the State of South / Research Analyst Global Settlement agreement-in-principle / analyst / Attorney General / Securities Commissioner / /

Product

business model / /

ProvinceOrState

Illinois / South Carolina / SOUTH / North Carolina / /

Technology

e-mail retention technology / /

SocialTag