Georgia

Nov 9th, 2014
Published by Jeremy Hyndman at Nov 9th, 2014
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What Misconduct Occurred at BB&T Securities?

In Lawrenceville, BB&T Securities financial advisor Sandra McClure was recently terminated, according to BB&T, for “failure to follow policy/procedure.” When the Financial Industry Regulatory Authority (“FINRA”) […]
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Nov 8th, 2014
Published by Jeremy Hyndman at Nov 8th, 2014
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Were Customer Funds Stolen at Wells Fargo Advisors?

In Atlanta, Wells Fargo Advisors broker Timothy Landrum was recently barred from the securities industry for failure to respond to regulator inquiries about alleged theft of […]
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Nov 1st, 2014
Published by Jeremy Hyndman at Nov 1st, 2014
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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 […]
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Oct 31st, 2014
Published by Jeremy Hyndman at Oct 31st, 2014
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Atlanta Broker-Dealer Lamon & Stern, Inc., fined for failure to supervise its stockbrokers.

Lamon & Stern was recently censured and fined $25,000 for its failure to supervise its stockbrokers in several important ways. The firm failed to establish a […]
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