-
February 15, 2018
Comments (0)
Blog
FINRA issues investor alert on Margin Trading Risks The Financial Industry Regulatory Authority (FINRA) recently issues an investor alert based on these margin statistics. It’s important for investors to understand margin trading risks and how margin calls operate. According to the FINRA, investor purchases of
Read More »
-
October 6, 2010
Comments (0)
Blog, Securities Fraud
FINRA recently today that it has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related to unsuitable unit investment trust (UIT), closed-end fund (CEF) and mutual fund transactions. Of that amount, $900,000 is a fine that includes nearly $224,000 in disgorgement of
Read More »
