sec whistleblower attorneys
March 05, 2019
BB&T Securities, LLC
Trading and Pricing
SANCTION AMOUNT: $5709753
Defendants: BB&T Securities, LLC
Settled charges that a firm acquired by the Respondent misled its advisory clients into believing they were receiving full service brokerage services in-house at a discount even though significantly less expensive options were available externally.
- Key Docs
- Official SEC press release