Defendant Name:
BB&T Securities, LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
IA-5002-s
Document Details
Legal Case Name
In the Matter of BB&T Securities, LLC, as successor entity to BB&T Investment Services, Inc.
Document Name
SEC Charges Investment Adviser for Failing to Fully Disclose Affiliate Compensation Arrangement
Document Date
07-Sep-2018
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Document Summary
"The Securities and Exchange Commission today announced charges against investment
adviser BB&T Securities, LLC for failing to adequately disclose material conflicts of interest arising out of a compensation arrangement with an affiliated investment adviser."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Monetary Penalties:
Civil Penalty
Individual:
$100,000.00
Shared: