SunTrust Robinson Humphrey Inc.

05/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120345292-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: SunTrust Robinson Humphrey, Inc., Respondent Broker-Dealer CRD No. 6271 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent SunTrust Robinson Humphrey, Inc. (the ''Respondent" or ''Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2012034529201data-portal.finra.orgfinra.org

05/26/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042145201 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: SunTrust Robinson Humphrey, Inc., Respondent Broker-Dealer CRD No. 6271 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SunTrust Robinson Humphrey, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014042145201finra.orgdata-portal.finra.org

12/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050194501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: SunTrust Robinson Humphrey, Inc., Respondent CRD No. 6271 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SunTrust Robinson Humphrey, Inc. ("SunTrust," the "Firm" or ''Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2016050194501data-portal.finra.orgfinra.org

07/26/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013864101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: SunTrust Robinson Humphrey, Inc., Respondent Member Firm BD No. 6271 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SunTrust Robinson Humphrey, Inc. ("SunTrust RH," the "Firm," or the "Respondent") submits this Letter of Acceptance, Waiver and Consent

Reference 2008013864101data-portal.finra.orgfinra.org

06/01/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015045039501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SunTrust Robinson Humphrey, Inc. (n/k/a Truist Securities, Inc.) (Respondent) Member Firm CRD No. 6271 Pursuant to FINRA Rule 9216, Respondent SunTrust Robinson Humphrey, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2015045039501data-portal.finra.orgfinra.org

12/21/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056299001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SunTrust Robinson Humphrey, Inc. (now known as Truist Securities, Inc.) (Respondent) Member Firm CRD No. 6271 Pursuant to FINRA Rule 9216, Respondent SunTrust Robinson Humphrey, Inc. (SunTrust), now known as Truist Securities, Inc., submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement

Reference 2018056299001data-portal.finra.orgfinra.org