SEC
Whistleblower
Attorneys

September 14, 2017

SunTrust Investment Services

Trading and Pricing

SANCTION AMOUNT: 1148071.77

Defendants: SunTrust Investment Services

Investment services subsidiary of SunTrust Banks was charged with collecting avoidable fees from clients by improperly recommending more expensive share classes of various mutual funds when cheaper shares of the same funds were available. The Respondent agreed to pay this sanction as a penalty to settle the charges.

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