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 |
| Geoffrey Colin Turner | 4007735 | 1 | 09/28/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Charles Sherman | 2233839 | 3 | 04/05/2017 | 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 |
| Susan Renee Seitter | 2128550 | 2 | 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 |
| Joseph Weinberg | 6379753 | 1 | 09/01/2013 | 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 |
| Sean Michael Setina | 5248762 | 1 | 09/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |