The Banksters

0x3…6f4

ERC721

The Financial Industry Regulatory Authority fined suntrust Robinson Humphrey, Inc. (SunTrust RH) and suntrust Investment Services, Inc. (SunTrust IS) for violations related to the sale of auction rate securities (ARS). SunTrust RH, which underwrote the ARS, was fined $4.6 million for failing to adequately disclose the increased risk that auctions could fail, sharing material non-public information, using sales material that did not adequately disclose the risks associated with ARS, and having inadequate supervisory procedures and training concerning the sales and marketing of ARS. SunTrust IS was fined $400,000 for having deficient ARS sales material, procedures and training. For more info visit https://www.finra.org/media-center/news-releases/2011/finra-fines-suntrust-robinson-humphrey-suntrust-investment-services

Name

1042

Owner

0x3372D38A7e703601d27a7D2E0E96f75B288E7643

ID#1042

Rarity

X-LO:87%