Truitt Scott Ficklin of Muncie Indiana a stockbroker formerly employed by Cetera Investment Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to provide FINRA with a response to the regulator’s request for Ficklin’s information. Case No. 2017055548901 (Feb. 20, 2018).
FINRA Public Disclosure reveals that Ficklin is referenced in four customer initiated investment related disputes pertaining to allegations of Ficklin’s wrongdoing during the time that he was registered with Cetera Investment Services LLC. Specifically, on May 23, 2017, a customer initiated investment related complaint regarding Ficklin’s conduct was resolved for $11,821.85 in damages supported by accusations against Ficklin of suitability relating to certificate of deposit investments.
On October 18, 2017, another customer initiated investment related complaint concerning Ficklin’s activities was settled for $10,093.68 in damages based upon allegations that misrepresentations had been made to the customer concerning certificate of deposit investments. Moreover, on December 11, 2017, two customer initiated investment related complaints involving Ficklin’s conduct were resolved for a total of $76,160.00 in damages founded on accusations that the customers’ certificate of deposit investments had been induced by misrepresentations.
Ficklin’s registration with Cetera Investment Services LLC was terminated on August 23, 2017.
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