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Tag: UIT

Blog, Securities Fraud Articles

May 18, 2011

Citigroup Global Markets Inc. fined by FINRA

Citigroup Global Markets Inc. (CRD #7059, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...

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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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