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FINRA Awards for Truist Investment Services.

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Displaying 10 out of 10 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0080009/04/2024Claimant(s): Lin Ren
Claimant Lawyers(s): Caleb Kruckenberg
Respondent(s): Truist Investment Services., Yeoshen Tsui, Yu Tang
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): Daniel J. Donovan, Larry E. Ray, Geoffrey A. Drucker
Hearing Site: Baltimore, MD
Checkmark IconExpungement
22-0196505/09/2024Claimant(s): Christopher Heilman, Ronald Kiser
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): Truist Investment Services.
Respondent Lawyers(s): Andrew J. Shapren
Arbitrator(s): Marian Smith Glenn, Catherine Esther Bocskor, Douglas Ken Rudley
Hearing Site: Norfolk, VA
23-0126909/22/2023Claimant(s): Calena Terry
Claimant Lawyers(s): Calena Terry
Respondent(s): Truist Investment Services., Paula Allen
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
Checkmark Icon$0
21-0138705/24/2023Claimant(s): Pascal Desrosiers
Claimant Lawyers(s): Aklilu Dunlap
Respondent(s): Truist Investment Services.
Respondent Lawyers(s): Thomas DeFranco
Arbitrator(s): Charles R. Manzoni, Peter N. Thompson, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
Checkmark Icon$0
20-0377105/19/2023Claimant(s): Truist Investment Services.
Claimant Lawyers(s): John E. MacDonald
Respondent(s): John Davis
Respondent Lawyers(s): W. Wallace Respess
Arbitrator(s): Robert Neal Hunter
Hearing Site: Charlotte, NC
20-0407504/19/2023Claimant(s): Truist Investment Services.
Claimant Lawyers(s): John E MacDonald
Respondent(s): Michael Hudgins
Respondent Lawyers(s): Henry I. Willett
Arbitrator(s): Thomas P. Talbot, Overman Randolph Rollins, Paul Dimitri Georgiadis
Hearing Site: Richmond, VA
21-0236403/15/2023Claimant(s): Craig Spry
Claimant Lawyers(s): Julie H. Fosbinder
Respondent(s): Truist Investment Services., Edmond Henley, BB&T Securities
Respondent Lawyers(s): Alexander M. Madrid
Arbitrator(s): Robert Neal Hunter, Frederick R. Benson, Erika Hunter
Hearing Site: Charlotte, NC
21-0056702/28/2023Claimant(s): Truist Investment Services.
Claimant Lawyers(s): V. Justin Arpey
Respondent(s): James Goolsby
Respondent Lawyers(s): James Hobart Goosby
Arbitrator(s): Chandler R. Bridges, William Travis McKinney, Margaret F Roth
Hearing Site: Atlanta, GA
21-0014812/15/2022Claimant(s): Truist Investment Services.
Claimant Lawyers(s): Jeffrey M. Lichtstein
Respondent(s): Christopher Walter
Respondent Lawyers(s): Christopher Russell Walter
Arbitrator(s): Shelley Simons Korch, Kathy Davidson Ireland, James Ray Eyler
Hearing Site: Baltimore, MD
22-0029911/30/2022Claimant(s): Tyrone Chaplin
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Truist Investment Services.
Respondent Lawyers(s): Josef Y. Rosen
Arbitrator(s): Kelli J. Jareaux
Hearing Site: Washington, DC

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