Tag Archives: SunTrust Investment Services

SunTrust Sanctioned For Failure To Supervise ETF Sales

June 03, 2020  |   Posted by :   |   Failure To Supervise, Inverse/Leveraged ETF Funds   |   Comments Off on SunTrust Sanctioned For Failure To Supervise ETF Sales

SunTrust Investment Services a securities broker dealer headquartered in Atlanta Georgia has been censured and fined $50,000.00 by Financial Industry Regulatory Authority (FINRA) based upon findings that SunTrust failed to supervise the suitability of non-traditional exchange traded funds transactions in customer accounts. Letter of Acceptance Waiver and Consent No. 2018057530701 (May 1, 2020). According to […]

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SunTrust Stockbroker Fired For Customer Loans

June 30, 2018  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Barbara Bonnie Fox of Hampton Virginia a stockbroker formerly registered with SunTrust Investment Services Inc. has been discharged by the firm on April 5, 2018 supported by accusations that Fox procured a loan from one of the firm’s customers despite failing to procure approval from SunTrust Investment Services. Financial Industry Regulatory Authority (FINRA) Public Disclosure […]

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SunTrust Investment Service Broker Barred In Stealing Investigation

Kirsten Flynn Hawkins, a registered representative with SunTrust Investment Services, Inc., was permanently barred by Financial Industry Regulatory Authority (FINRA) for failing to provide information and documentation in connection with an investigation into allegations that Hawkins stole funds from her firm’s customer. Letter of Acceptance, Waiver, and Consent No. 20149437894 (Mar. 23, 2015). According to […]

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