Violation Tracker Individual Record
Company:
SunTrust Robinson Humphrey, Inc.
Current Parent Company:
Truist Financial
Penalty:
$1,500,000
Year:
2016
Date:
December 21, 2016
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Violation Description:
The Financial Industry Regulatory Authority fined 12 firms for significant deficiencies relating to the preservation of broker-dealer and customer records in a format that prevents alteration.
Level of Government:
federal
Action Type:
agency action
Agency:
Financial Industry Regulatory Authority
Civil or Criminal Case:
civil
HQ Country of Parent:
USA
HQ State of Parent:
North Carolina
Ownership Structure of Parent:
publicly traded
Major Industry of Parent:
financial services
Specific Industry of Parent:
banking
Notes:
FINRA is a securities industry self-regulatory body authorized by the federal government.
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
