Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Elio Rey (Rey), currently employed by Truist Investment Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Rey’s most recent customer complaint alleges that Rey recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a settled customer complaint on October 14, 2025.
Client alleged that prior to selling him a structured product linked to gold and silver, the FA did not educate him on the liquidity risk. Moreover, client indicated he requested to invest in gold and silver and not a structured note.