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Tag: unit investment trust losses

Blog, Securities Fraud Articles

Three Firms Ordered to Pay $1.2M for UTI Sales

Three firms were ordered by the Financial Industry Regulatory Authority (FINRA) to pay more than $1 million in fines and restitution for...

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Blog, Securities Fraud Articles

FINRA Fines Atlanta based broker-dealer SunTrust Investment Services

FINRA recently today that it has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related...

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