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: Securities Law Prof Blog

FINRA Fines SunTrust Investment Services for Fee-Based Account Violations

By Securites Lawprof

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FINRA fined SunTrust Investment Services, Inc., $700,000 for supervisory violations relating to its fee-based brokerage business and commissions on certain low-priced stocks. In assessing the fine announced today, FINRA took into account SunTrust's voluntary refunding of more than $713,000 in...

Full post as published by Securities Law Prof Blog on October 15, 2008 (boomark / email).

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