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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Britt Smith | 7532907 | 1 | 09/23/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Gus Abood | 2305670 | 2 | 12/27/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James William Applewhite | 1209709 | 7 | 05/19/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tiffany O'Hara Liggon | 5292514 | 1 | 09/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph William Yano | 5040707 | 1 | 09/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Renee Seitter | 2128550 | 2 | 09/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Scott von Berg | 4236591 | 1 | 09/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Setina | 5248762 | 1 | 09/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Yusi Lin | 5539543 | 1 | 09/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gray Southwick Guy | 4885809 | 1 | 04/15/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |