The Financial Industry Regulatory Authority fined Wachovia Securities, LLC and First Clearing, LLC, both of St. Louis, MO, $1.1 million for the firms' failure to provide more than 800,000 required notifications to customers over a five-year period ending in 2008. For more info visit https://www.finra.org/media-center/news-releases/2009/finra-fines-wachovia-securities-and-first-clearing-11-million-failing