SunTrust

Jul 7th, 2017

SPECIAL REPORT: Clay Hoffman of Summit Financial in Brunswick BARRED from securities industry for failure to cooperate with investigation into his alleged unauthorized trading, excessive trading, and fraud

After a long, checkered career, Clay Hoffman has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). According to FINRA, Mr. Hoffman […]
Oct 11th, 2016

SEC Sides with NBA Star Tim Duncan of San Antonio Spurs Against Financial Advisor Charles A. Banks, IV

The SEC has accused a long time financial advisor to pro athletes, Charles A. Banks, IV, with securities fraud. While the SEC’s complaint doesn’t name the […]
Nov 1st, 2014

SunTrust Investment Services Overcharges Advisory Clients

SunTrust received an $80,000 fine for overcharging investment advisory accounts. It appears that the misconduct lasted approximately two and a half years. SunTrust has returned approximately […]