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Tag: closed-end fund losses

Blog, Securities Fraud Articles

October 9, 2013

Risks of Closed-End Funds Coming to Fruition?

With rates rising, some closed-end funds (particularly the highly leveraged ones) are starting to show some significant losses.  The White...

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Blog, Securities Fraud Articles

October 6, 2010

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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