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: Securities Law Prof Blog

FINRA Fines Sun Trust for Unsuitable UIT, CEF and Mutual Fund Transactions

By Securites Lawprof

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FINRA 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...

Full post as published by Securities Law Prof Blog on July 22, 2010 (boomark / email).

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