Our Staff has compiled our research into a database of FINRA Broker Disclosures for Truist Investment Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Mark Adkin Walter | 2326137 | 2 | 07/31/1998 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Jerry William Smith | 1303734 | 7 | 03/27/1998 | Customer Dispute | Settled | $7,850.00 | $0.00 | See FINRA Report |
| Jeffery Factor | 1318772 | 1 | 10/21/1997 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Charles Henry Isasi | 2565057 | 2 | 10/01/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Nicole Marie Penland | 2122979 | 1 | 09/15/1997 | Customer Dispute | Settled | $9,009.56 | $0.00 | See FINRA Report |
| Lori Julian-Murphy | 1391582 | 2 | 03/26/1997 | Customer Dispute | Award / Judgment | $200,000.00 | $5,000.00 | See FINRA Report |
| James William Applewhite | 1209709 | 7 | 07/10/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lori Julian-Murphy | 1391582 | 2 | 05/21/1996 | Customer Dispute | Award / Judgment | $200,000.00 | $5,000.00 | See FINRA Report |
| James William Applewhite | 1209709 | 7 | 10/24/1995 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| George Frederick Claussen | 1583935 | 1 | 08/02/1995 | Customer Dispute | Award / Judgment | $109,100.00 | $2,000.00 | See FINRA Report |