Arthur Gilbert Faren of Fort Lauderdale, Florida, a stockbroker registered with SunTrust Investment Services Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $29,500.00 in damages based upon allegations that Faren did not follow the customer’s instructions regarding stop limit orders when Faren…
Jorge Miguel Alvarez, of Miami, Florida, a stockbroker registered with SunTrust Investment Services Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $293,000.00 in damages based upon allegations that Alvarez made unsuitable recommendations of Guaranteed Investment Contracts or GICs when Alvarez was…
Luisa Gonzalez (also known as Mercado Luisa Gonzales), of Pittsburgh, Pennsylvania, a stockbroker registered with SunTrust Investment Services Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $130,000.00 in damages based upon allegations that Gonzalez made unsuitable recommendations of Northstar Healthcare when Gonzalez was associated with…
Ahmet Kildis (also known as Matt Kildis), of Bayonet Point, Florida, was named in a customer initiated investment related FINRA securities arbitration claim where the FINRA Arbitration Panel ordered the modification of beneficiaries on a SunTrust investment account and ordered Kildis and SunTrust to pay $18,207.45 in costs based upon causes of action including breach…
Raul Jorge Benitez of Miami, Florida, a stockbroker formerly registered with SunTrust Investment Services Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $218,707.00 in damages supported by accusations of unsuitable transactions involving Northstar. Financial Industry Regulatory Authority (FINRA) Arbitration No. 21-01667 (July 6, 2021). The claim…
Sandra Benain McKoy, of Tamarac, Florida, a stockbroker formerly registered with SunTrust Investment Services Inc., is the subject of a customer initiated investment related, FINRA Securities Arbitration claim where the customer requested compensatory damages resulting from the purchase of Guaranteed Investment Certificates (GICs) while McKoy was associated with SunTrust Investment Services. Financial Industry Regulatory Authority…
Luisa Gonzalez (also known as Mercado Luisa Gonzales) of Kissimmee Florida a stockbroker formerly registered with SunTrust investment Services Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested between $100,000.00 and $500,000.00 in damages supported by allegations of Gonzalez selling them an unsuitable GIC investment during…
Raul Jorge Benitez of Aventura Florida a stockbroker formerly registered with SunTrust Investment Services Inc. has been referenced in a customer initiated investment related written complaint which was resolved for $8,486.24 on March 11, 2019 founded on allegations that the customer had been provided with unsuitable investment advice by Benitez concerning a managed investment account….
SunTrust Investment Services a securities broker dealer headquartered in Atlanta Georgia has been censured and fined $50,000.00 by Financial Industry Regulatory Authority (FINRA) based upon findings that SunTrust failed to supervise the suitability of non-traditional exchange traded funds transactions in customer accounts. Letter of Acceptance Waiver and Consent No. 2018057530701 (May 1, 2020). According to…
Charles Lewis Bender III (also known as Chip Bender) of Coral Cables Florida a stockbroker formerly registered with SunTrust Investment Services Inc. has been barred from associating with any FINRA member in any capacity based upon allegations that Bender did not provide a response to the regulator’s request for information. Case No. 2019062079801 (Aug. 12,…
Arthur Lee Boyd III of Lauderdale Lakes Florida a stockbroker formerly registered with SunTrust Investment Services Inc. is referenced in a customer initiated investment related written complaint which was settled for $10,000.00 on June 13, 2019 supported by allegations that (1) Boyd made misrepresentations concerning the risks of the bonds that he sold while employed…
Todd Joseph Thompson of Atlanta Georgia a stockbroker currently registered with SunTrust Investment Services Inc. is the subject of a customer initiated investment related written complaint on March 27, 2019 where the customer requested $19,367.00 in damages founded on allegations that false or misleading statements were made about terms of an equity indexed annuity that…
Phillip Andrew Johnson of Nashville Tennessee a stockbroker formerly employed by SunTrust Investment Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that Johnson refused to respond to a FINRA information request. Case No. 2018056846001 (Sept. 24, 2018). According to FINRA Public Disclosure,…
Anthony Kevin Swart (also known as Tony Swart) of Longboat Key Florida a stockbroker formerly employed by SunTrust Investment Services Inc. is the subject of an Order issued by The State of Michigan Department of Licensing and Regulatory Affairs which directed Swart to withdrawal his securities agent registration in the State of Michigan based upon…
Ahmet Kildis of Hudson Florida a stockbroker formerly registered with SunTrust Investment Services Inc. has been discharged by the firm on March 13, 2018 based upon accusations that Kildis modified a customer’s signed documentation in violation of the firm’s policies. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Kildis has been identified in two…
Sandra Benain McKoy of Lauderdale Lakes Florida a stockbroker formerly registered with SunTrust Investment Services Inc. is referenced in a customer initiated investment related arbitration claim which settled for $50,000.00 in damages supported by accusations that McKoy (1) poorly advised the customer concerning mutual fund and variable annuity products and (2) placed unsuitable transactions in…
Leonardo Max Garcia of Coral Cables Florida a stockbroker formerly employed by SunTrust Investment Services Inc. is referenced in a customer initiated investment related complaint that was settled on August 28, 2018 for $17,875.00 in damages supported by accusations that (1) the customers were not provided information concerning the features and fees of variable annuity…
Stephen Andrew Kelly of Gainesville Georgia a stockbroker currently registered with SunTrust Investment Services Inc. is referenced in a customer initiated investment related written complaint on November 7, 2017 where the customer sought $6,140.00 in damages founded on accusations that Kelly was placed in a fixed annuity without the customer’s grant of authorization. Financial Industry…
Matthew Alan Morris of Hopewell Virginia a stockbroker formerly employed by SunTrust Investment Services Inc. has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he forged signatures on account documentation. Letter of Acceptance Waiver and Consent…
Barbara Bonnie Fox of Hampton Virginia a stockbroker formerly registered with SunTrust Investment Services Inc. has been discharged by the firm on April 5, 2018 supported by accusations that Fox procured a loan from one of the firm’s customers despite failing to procure approval from SunTrust Investment Services. Financial Industry Regulatory Authority (FINRA) Public Disclosure…
Gary Craig Crenshaw of Raleigh North Carolina is a stockbroker currently registered with SunTrust Investment Services Inc. who is the subject of a customer initiated investment related complaint where the customer sought $15,067.00 in damages based upon accusations that a variable annuity was inappropriately sold to the customer during the time that the customer had…
Philip Andrew Johnson of Nashville Tennessee is a stockbroker formerly associated with SunTrust Investment Services Inc. who has been fined five thousand dollars and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he borrowed funds from a customer without authorization from the firm….
Robert Lee Hunt, of Coral Springs, Florida, a stockbroker formerly registered with SunTrust Investment Services, Inc., is the subject of a customer initiated investment related arbitration claim, where the customer was awarded $17,847.00 in damages on April 3, 2017, based upon allegations that he made misrepresentations and omissions to the customer concerning investments, negligently handled…
Timothy John Reed, of Bristow, Washington, a stockbroker formerly registered with SunTrust Investment Services, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to provide a response to FINRA’s informational request. Letter No. 2016049929801 (Apr. 24, 2017). FINRA Public Disclosure also…
Edward Lonnie Dover III, of Winter Park, Florida, a stockbroker formerly registered with SunTrust Investment Services, Inc., was terminated from employment on September 20, 2016, based upon allegations that he violated his firm’s procedures and policies concerning the handling of a customer’s fixed annuity transaction. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Dover…
Kirsten Flynn Hawkins, a registered representative with SunTrust Investment Services, Inc., was permanently barred by Financial Industry Regulatory Authority (FINRA) for failing to provide information and documentation in connection with an investigation into allegations that Hawkins stole funds from her firm’s customer. Letter of Acceptance, Waiver, and Consent No. 20149437894 (Mar. 23, 2015). According to…