Tag Archives: BB&T Securities LLC.

BB&T Securities Stockbroker Accused Of Failure To Liquidate Mutual Funds

December 06, 2021  |   Posted by :   |   Failure to Execute, Investment and Regulatory News   |   0 Comments

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 […]

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BBT Stockbroker Barred By FINRA In Investigation

November 08, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on BBT Stockbroker Barred By FINRA In Investigation

Glenn Edward Brandon Jr. of Birmingham Alabama, a stockbroker formerly registered with BBT Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he failed to comply with an investigation concerning allegations of his outside business activities in violation of FINRA rules. Letter […]

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BBT Securities Accused Of Mutual Fund Misconduct

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 […]

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Customer Accuses BB&T Of Unsuitable Annuity Purchase

January 26, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

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 […]

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BB&T Stockbroker Suspended For Customer Complaint

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 […]

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Customer Sues BB&T For Unauthorized Trading

August 15, 2017  |   Posted by :   |   Unauthorized Trading   |   0 Comments

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 […]

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BB&T Securities Sued in Arbitration For Fraud

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 […]

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Broker Dealers Censured For Failure To Provide Customers Discounts

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 […]

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