Truist Investment Services

Broker Jeffrey Oliverio in Truist Investment Services, INC. Firm Has Customer Complaint

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Oliverio (Oliverio), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Oliverio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $536,513.00 on June 19, 2020.

Oliverio was a subject of the customer’s complaint against his member firm and/or other named respondents that asserted the following causes of action: violation of the Business Conduct Rule, FINRA Rule 2010 (standards of commercial honor and principles of trade); violation of FINRA Rule 2020 (use of manipulative, deceptive and other fraudulent devices); violation of FINRA Rule 2111 (suitability); violation of FINRA Rule 3260 (discretionary accounts); violation of FINRA Rule 3110 (supervision); breach of fiduciary duty; breach of a broker’s duty of reasonable care; breach of a broker’s duty to supervise and ensure compliance with firm and industry rules; negligence; and fraud and deceit.

Broker T Thompson in Truist Investment Services, INC. Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker T Thompson (Thompson), previously associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thompson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 20, 2026.

Clients allege high risk and unsuitable securities trading regarding managed investments.

There are Recent Customer Complaints with Broker Lynn Carter in Firm Truist Investment Services, INC.

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lynn Carter (Carter), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Carter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $110,000.00 on August 31, 2020.

Clients allege that representative made an unsuitable recommendation.

There are Recent Customer Complaints with Broker Linda Rotsztein in Firm Truist Investment Services, INC.

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linda Rotsztein (Rotsztein), previously associated with Truist Investment Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rotsztein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $626,111.68 on March 17, 2021.

Client allege unsuitable recommendations

There are Recent Customer Complaints with Broker Wayne Babst in Firm Truist Investment Services, INC.

February 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Babst (Babst), previously associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Babst recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 10, 2025.

In January 2023, a check was deposited to the incorrect account type (Traditional vs Roth) resulting in tax implications for the trustee. The trustee with her tax accountant identified the error in March 2025 and requested a corrected 1099.

Broker Elio Rey in Truist Investment Services, INC. Firm Has Customer Complaint

February 9, 2026 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Ryan Murphy in Firm Truist Investment Services, INC.

February 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Murphy (Murphy), previously associated with Truist Investment Services, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Murphy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 15, 2025.

Client alleges investment opportunities offered were risk-free real estate investments that offered a guaranteed return at a much higher rate of return.\,

There are Recent Customer Complaints with Broker Enrique Cuervo in Firm Truist Investment Services, INC.

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enrique Cuervo (Cuervo), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cuervo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on August 26, 2021.

Client alleges investment was unsuitable

There are Recent Customer Complaints with Broker Robert Paterson in Firm Truist Investment Services, INC.

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Paterson (Paterson), previously associated with Truist Investment Services, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Paterson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 30, 2021.

Respondent Paterson failed to respond to FINRA requests for information.

Broker Matthew Moore in Truist Investment Services, INC. Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Moore (Moore), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Moore recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $15,000.00 on November 18, 2025.

The client alleges the FA liquidated assets held in his Roth IRA account without his authorization. The client states the proceeds from the liquidation were transferred to his joint registration account. The proceeds were utilized to pay a premium for a Protective Strategic Objectives VUL policy in October 2024 and the client alleges he had instructed the FA to cancel the policy.