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 |
|---|---|---|---|---|---|---|---|---|
| Ken Tanaka | 4464403 | 1 | 10/06/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Merrick Semans | 2631062 | 2 | 07/28/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tu Nguyen | 5472673 | 1 | 03/31/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James David Conrod | 2105654 | 4 | 09/24/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James David Conrod | 2105654 | 4 | 09/24/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason D Ferreira | 5248702 | 1 | 03/19/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicholas A Biron | 5058230 | 2 | 01/21/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicholas A Biron | 5058230 | 2 | 01/21/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Clark McKenzie | 4189019 | 1 | 08/27/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas Warren Smith | 1723402 | 6 | 08/27/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |