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Tag: unit investment trust losses

Blog, Current Investigations, Securities Fraud

December 14, 2016

Investor Alert: Unit Investment Trust (UIT)

A Unit Investment Trust (UIT) is an exchange-traded mutual fund offering a fixed (unmanaged) portfolio of securities having a definite...

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Blog, Securities Fraud

February 11, 2016

Three Firms Ordered to Pay $1.2M for UTI Sales

Three firms were ordered by the Financial Industry Regulatory Authority (FINRA) to pay more than $1 million in fines and restitution for...

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Blog, Securities Fraud

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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