Emilio Guajardo Jr., of Houston, Texas, a stockbroker registered with BBT Securities LLC, was the subject of a customer initiated investment related complaint that was settled on August 26, 2022, for $607,856.00 in damages based upon allegations that Guajardo made misrepresentations of material fact in connection with the sale of unit investment trusts when Guajardo…
James Tracy Stines (also known as Tracy Stines), of Richmond, Virginia, a stockbroker formerly registered with BB&T Securities LLC, is the subject of a customer initiated investment related written complaint which was resolved for $75,000.00 on September 30, 2020, supported by allegations that the customer’s instructions of liquidating a mutual fund had not been followed…
Shannon Christopher Taylor of Roxboro North Carolina a stockbroker registered with BBT Securities LLC is referenced in a customer initiated investment related written complaint which was resolved for $36,308.87 in damages on October 31, 2018 based upon allegations that (1) misrepresentations had been made to the customer concerning the terms and conditions of investments and…
Matthew Aaron Turner, of Ponte Vedra Beach, Florida, a stockbroker currently employed with BB&T Securities, LLC, is the subject of a customer initiated investment related written complaint, which settled on December 27, 2017 for $14,999.00 in damages supported by allegations that Turner made unsuitable investment recommendations to the customer concerning a variable annuity, causing the…
Ashley Elmo Arnsdorff of Charleston, South Carolina, a stockbroker formerly registered with BB&T Investment Services, Inc., has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he attempted to settle a customer’s complaint away from the firm. Letter of Acceptance, Waiver…
Michael Andrew Coraggio, of Hasbrouck Heights, New Jersey, a stockbroker formerly registered with BB&T Securities, LLC, is the subject of a customer initiated investment related arbitration claim , which settled on June 7, 2017, wherein the customer received $24,000.00 in damages based upon allegations that Coraggio breached his fiduciary duties, made misrepresentations and omissions to…
Dean Adam Myerow, of Hasbrouck Heights, New Jersey, a stockbroker formerly registered with BB&T Securities, LLC, has been identified in a customer initiated investment related arbitration claim on April 26, 2017, in which the customer requested $125,000.00 in damages based upon allegations that included violation of MSRB and FINRA rules, failure to supervise, breach of…
Multiple Financial Industry Regulatory Authority (FINRA) member broker dealers, including Robert W. Baird & Co, Inc., BB&T Securities, LLC., U.S. Bancorp Investments, Inc., Fifth Third Securities, Inc., and PNC Investments LLC, were recently censured and ordered to pay restitution to customers after consenting to findings that the firms’ overcharged customers in mutual funds purchases, and…