Articles Tagged with SunTrust Investment Services

SunTrust Investment ServicesPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Georgia-based brokerage firm SunTrust Investment Services has received numerous customer disputes and regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who have complaints regarding SunTrust Investment Services (CRD# 17499).

Established in Georgia in 1985, SunTrust Investment Services is headquartered in Atlanta, Georgia and registered with 52 US states and territories. According to its BrokerCheck report, it has received 11 regulatory events and 12 customer complaints that evolved into arbitration.

In 2017 the Securities and Exchange Commission sanctioned the firm in connection to allegations it breached its fiduciary duty to advisory clients, “made inadequate disclosures” by failing to explain conflicts of interests, and had various deficiencies concerning its “mutual fund share class selection processes.” The firm was censured and ordered to pay a fine exceeding $1,148,000.

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.

Todd RymanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 11, 2017 indicate that Georgia-based SunTrust Investment Services broker/adviser Todd Ryman has recently received new pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ryman (CRD# 2648270).

Todd Ryman has spent 21 years in the securities industry and has been registered with SunTrust Investment Services in Atlanta, Georgia since February 2017. Previous registrations include Raymond James & Associates in Atlanta, Georgia; Deutsche Bank Securities in Atlanta, Georgia (2011-2016); Merrill Lynch in Atlanta, Georgia; Banc of America in Atlanta, Georgia; UBS Painewebber in Weehawken, New Jersey; Josephthal & Company in New York, New York; and Bear Stearns & Company in New York, New York. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with eleven US states and territories: California, the District of Columbia, Georgia, Iowa, Idaho, Louisiana, Maryland, Ohio, Pennsylvania, South Carolina and Tennessee.

According to his BrokerCheck report, he has received four customer complaints, two pending customer complaints and one regulatory sanction.

Ryan CoxPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 13, 2017 indicate that former Georgia-based SunTrust Investment Services broker/adviser Ryan Cox has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cox (CRD# 3018153).

Ryan Cox has spent eighteen years in the securities industry and was most recently registered with SunTrust Investment Services in Columbus, Georgia (2015-2017). Previous registrations include Synovus Securities in Columbus, Georgia and SunTrust Securities in Atlanta, Georgia. He has passed three securities industry examinations: Series 7 (General Securities Representative Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 66 (Uniform Combined State Law Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Ryan Cox has been sanctioned by FINRA and resigned from two former employers.

iStock_sad pplThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Georgia-based Summit broker/adviser Clay Hoffman (CRD# 4371162).

Clay Hoffman has spent fourteen years in the securities industry and has been registered with Summit Brokerage Services in Brunswick, Georgia since 2013. Summit Brokerage Services is a member of the Cetera Financial Group and RCS Capital. Mr. Hoffman’s previous registrations include SunTrust Investment Services in St. Simons, Georgia (2007-2013); Merrill Lynch, Pierce, Fenner & Smith in Ponte Vedra Beach, Florida (2007); and Edward Jones in Tifton, Georgia (2001-2007). He is a broker and investment adviser registered in Georgia.

According to his BrokerCheck report, Clay Hoffman is the subject of seven customer complaints, four pending customer complaints, and was discharged from SunTrust Investment Services.

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