Securities Lawyers Blog
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.