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The investor received 15 months in prison after pleading guilty to wire fraud.
June 1
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Three firms have fired the broker, whose former clients have won $494,000 in settlements.
May 3
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The SEC is investigating the bank for selling clients mutual funds that charge marketing fees when other, cheaper funds were available. SunTrust expects an enforcement action.
February 27
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The wirehouse agrees to pay a $2.8 million fine after the regulator discovers the bad reporting went on for years.
October 19
