Ex-SunTrust Broker Dale Seagrave Resigns Over Pre-Signed Form

Dale SeagravePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that former Florida-based SunTrust Investment Services broker/adviser Dale Seagrave recently resigned from his former employer in connection to alleged rule violations and has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Seagrave (CRD# 2457013).

Dale Seagrave has spent 16 years in the securities industry and was most recently registered with SunTrust Investment Services in Coral Gables, Florida (2015-2018). Previous registrations include Wells Fargo Advisors in Hallandale, Florida (2009-2015); PFIC Securities Corporation in Franklin, Tennessee (2002-2003); Banc of America Investment Services in Boston, Massachusetts (2001-2002); SunTrust Securities in Atlanta, Georgia (2001); Mesirow Financial in Chicago, Illinois (2001); H. Beck in Bethesda, Maryland (2000); Citicorp Investment Services in Long Island City, New York (1998-1999); Painewebber in Weehawken, New Jersey (1998); Shay Financial Services in Irving, Texas (1995-1997); and Suncoast Capital Group in Fort Lauderdale, Florida (1994). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 13, 2009; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 16, 2007; and Series 7 (General Securities Representative Examination), which he obtained on March 5, 2009. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and recently resigned from his former employer in connection to alleged rule violations.

In June 2018 a customer alleged Dale Seagrave, while employed at SunTrust Investment Services, recommended a transaction that resulted in a tax liability the customer was upset with. The complaint settled for $25,554.

In May 2018 he was “permitted to resign” from his position at SunTrust investment Services following allegations he had a customer “sign and date a blank form and return [it] via email.”

In 2013 a customer alleged Dale Seagrave, while employed at Wells Fargo Advisors, purchased an investment without authorization. The customer sought unspecified damages in the complaint, which was denied.

If you or someone you know has lost money investing with Dale Seagrave, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.