Investors reportedly complained about securities broker Stephen Berrocal (also known as Steve Berrocal) [CRD: 3071400, Coral Gables, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Berrocal joined Truist Investment Services Inc. on August 2, 2013, and Truist Advisory Services Inc. on August 24, 2016. See the following information to find out more […]

One or more investors possibly experienced losses because of securities broker Terry Sloan Thompson (also known as T. Sloan Thompson) [CRD: 2588490, Savannah, Georgia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Terry Thompson worked for Truist Investment Services Inc. from February 17, 2021 to March 21, 2024, and for BB&T Securities LLC […]

Investors potentially experienced sales practice violations because of securities broker Michael Castillo Campos [CRD: 5516057, Lexington, South Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Campos works with D.A. Davidson & Co. in Lexington, South Carolina, having joined the firm on October 24, 2022. Previously, Campos worked at Truist Advisory Services Inc. […]

Investors apparently complained about securities broker Santiago J. Torres Jr. [CRD: 5644622, Willow Street, Pennsylvania], according to disclosures on FINRA BrokerCheck. It appears that Torres worked for Truist Investment Services Inc. from February 17, 2021, to October 18, 2024, and BB&T Securities LLC from January 2, 2018, to February 17, 2021. Keep reading to learn […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ryan T. Murphy (CRD: 4332032, Savannah, Georgia). Murphy was registered with Truist Investment Services Inc. from February 2006 to May 2024. Recent regulatory actions have resulted in a permanent bar from the securities industry following allegations related to misconduct and failure to comply with […]

Investors possibly experienced losses because of securities broker Kultar Singh Bindra (also known as Sid Bindra) [CRD: 6147537, Tampa, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kultar Bindra joined Truist Investment Services Inc. on February 17, 2021, and Truist Advisory Services Inc. on February 17, 2021. Below, you’ll find a […]

FINRA expelled securities broker Christina Dawn Peterman (also known as Christina Dawn Heighton, Christina Dawn Knippers, and Christina Dawn Lay) [CRD: 4064817, Greensboro, North Carolina], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Christina Peterman worked for Truist Investment Services Inc. from August 1, 2021, to May 16, 2023. Here’s more about Christina Peterman’s […]

Soreide Law Group is currently conducting an investigation into potential claims on behalf of investors who may have experienced losses with Raul Benitez [CRD#: 4457185, Aventura, Florida]. Evidently, he worked for Wells Fargo Clearing Services LLC in Aventura, FL, from 2018 to 2023. Also, he worked for SunTrust Investment Services Inc. in Miami, FL, from […]

Soreide Law Group is currently conducting an investigation on behalf of investors who have sustained financial losses involving registered broker and financial advisor, Peter John Clarke [CRD#: 1400419, Palm Beach Gardens, Florida]. Clarke works for Rockefeller Financial LLC and Rockefeller Capital Management since November 12, 2021. His previous associations include Truist Advisory Services Inc., and […]