Tag: Maryland

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...

Blog, Securities Fraud Articles

June 8, 2010

Charles James Moni fined and suspended from FINRA

FINRA recently announced that Charles James Moni, a financial advisor formerly registered with Jesup & Lamont Securities Corp, a FINRA...

Blog, Securities Fraud Articles

October 6, 2009

Frederick J. Barton allegedly defrauded a client

The SEC recently announced that an Administrative Law Judge issued an Initial Decision in Frederick J. Barton (Barton), Admin. Proc....

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