Articles Tagged with Trustmont Financial Group

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Dillman (Dillman), previously associated with Trustmont Financial Group, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dillman 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 $375,717.00  on June 02, 2020.

2012- June 2017, alleged unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, the failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edgar Mock (Mock), currently associated with Trustmont Financial Group, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mock 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 $375,717.00  on June 02, 2020.

2012- June 2017, alleged unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, the failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emmet Martin (Martin), currently associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $150,000.00 on March 04, 2026.

Respondent mishandled the claimant’s retirement assets. Failed to properly allocate and diversify claimant’s portfolio. Recommended inappropriate and unsuitable securities, including private placements or non-conventional investments. Failure to supervise its financial advisor, failure to appropriately train the financial advisor, failure to conduct due diligence or negligently conducted due diligence on the products.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edgar Mock (Mock), currently associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mock 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 $375,717.00 on June 02, 2020.

2012- June 2017, alleged unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, the failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Dillman (Dillman), previously associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dillman 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 $375,717.00 on June 02, 2020.

2012- June 2017, alleged unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, the failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Livorio (Livorio), previously associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Livorio 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 $9,000.00 on January 25, 2021.

Failure to follow instructions from the client.

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

FINRA BrokerCheck shows a final customer complaint on March 05, 2021.

Without admitting or denying the findings, Tarjanyi consented to the sanction and to the entry of findings that he provided inaccurate information regarding a customer’s execution of an annuity partial withdrawal form during on-the-record testimony taken by FINRA after it opened an examination of his sales practices. The findings stated that at that time, Tarjanyi’s member firm had reported that customers complained about him, alleging, among other things, forgery and falsification of information on an insurance application and annuity withdrawal forms.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Sfinas (Sfinas), previously associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sfinas 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 $5,000.00 on April 08, 2022.

Customer alleges that representative made unsuitable investment recommendations resulting in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Weston (Weston), previously associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weston 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 $100,000.00 on May 04, 2023.

Plaintiff states gross negligence, carelessness, recklessness, and intentional willful acts of the defendants in the loss of $100,000.00 to the account.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Sullivan (Sullivan), previously associated with Trustmont Financial Group, INC., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Sullivan  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on July 15, 2024.

Misrepresentation- sold high commissions, risky, alternative investments

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