Defendant Name:
BB&T Securities, LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
BB&T Corporation
SIC Code:
6712
CUSIP:
05493710
Initial Case Details
Legal Case Name
In the Matter of BB&T Securities, LLC, as successor-in-interest to Valley Forge Asset Management, LLC
First Document Date
05-Mar-2019
Initial Filing Format
Administrative Action
File Number
3-19020
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Sections 206(2), 207 Advisers Act
Resolutions
First Resolution Date
05-Mar-2019
Headline Total Penalty and Disgorgement
$5,709,753