Truist Investment Services

There are Recent Customer Complaints with Broker Jeffrey Oliverio in Firm Truist Investment Services, INC.

August 3, 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 2 disclosable events. These events include 2 customer complaints, 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.

There are Recent Customer Complaints with Broker Darren Dawson in Firm Truist Investment Services, INC.

June 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darren Dawson (Dawson), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dawson 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 $8,000.00 on May 05, 2026.

Client alleges that his T-Bill investments were not being automatically invested by the representative.

There are Recent Customer Complaints with Broker William Ouzts in Firm Truist Investment Services, INC.

June 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 27, 2026.

Client received shareholder notice about an acquisition of a bank she held stock in and consulted FA about what she should do. He believed the swap would be one for one that she did not need to do anything. That was not the case and all her stock was sold and proceeds deposited too account. The cash merger payout resulted in client realizing a large capital gain and a large tax liability.

There are Recent Customer Complaints with Broker John Mason in Firm Truist Investment Services, INC.

May 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Mason (Mason), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mason 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 $56,351.00 on March 10, 2026.

Client alleges poor performance in their accounts from February 2021 to March 2023 and is requesting damages of $56,351.

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

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Lewis (Lewis), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lewis 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 $12,000.00 on March 27, 2026.

The client is alleging that he gave instructions to invest his funds into 4% treasuries but instead the funds remained in a money market account for 6 months. Client’s claim for damages is based on the client’s assessment of purported missed interest payments.

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.