Violation Tracker Individual Record
NASD censured and fined SunTrust Capital Markets, Inc.-the Atlanta, GA-based bank-affiliated broker-dealer and investment bank-$100,000 for failing to register its 48 research analysts under new NASD rules that took effect in 2004.
SunTrust Capital Markets Fined $100,000 for Failing to Register Research Analysts under New Rules, PR Newswire, May 9, 2005 (via Nexis).
FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).