BB&T Securities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with BB&T Securities. If you suffered losses investing with BB&T Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
BB&T Securities is the successor entity to BB&T Investment Services, Inc. (CRD# 338856).
BB&T Securities (CRD# 142785) (SEC# 8-67486)
As of September 12, 2016, BB&T Securities’s FINRA BrokerCheck Report contains the following:
42 Regulatory Event Disclosures
1 Arbitration Disclosures
Main Office Location
901 EAST BYRD STREET
RIVERFRONT PLAZA, WEST TOWER
RICHMOND, VA 23219
Mailing Address
901 EAST BYRD STREET
RIVERFRONT PLAZA, WEST TOWER
RICHMOND, VA 23219
Business Telephone Number
804-643-1811
Direct Owners and Executive Officers
BB&T CORPORATION – SOLE MEMBER
BALL, MICHAEL DOUGLAS (CRD# 1134463) – SENIOR MANAGING DIRECTOR/REGIONAL MANAGER
CECIL, ALEXANDER WILSON (CRD# 2319938) – CHIEF COMPLIANCE OFFICER/BOARD OF MANAGERS
CLARK, THOMAS MICHAEL (CRD# 5721245) – BOARD OF MANAGERS
CRAM, BRYAN SCOTT (CRD# 2723431) – PRESIDENT PRIVATE CLIENT GROUP/ BOARD OF MANAGERS
GRIM, MERLIN T (CRD# 1386380) – FINANCIAL OPERATIONS & RISK OFFICER/SR. MANAGING DIRECTOR / BOARD OF MANAGERS
JOHNSON, HAL SWORDS (CRD# 2932544) – BOARD OF MANAGERS
JUNG, JOHN BERNARD JR (CRD# 1296163) – SR MANAGING DIRECTOR/HEAD OF CAPITAL MARKETS /BOARD OF MANAGERS
OWEN, MICHAEL COLE (CRD# 1146778) – SENIOR MANAGING DIRECTOR/REGIONAL MANAGER
SAUFLEY, RANDALL BARRETT (CRD# 1664935) – CHIEF FINANCIAL OFFICER/FINOP/BOARD OF MANAGERS
SCOTT, SIDNEY BUFORD (CRD# 417234) – CHAIRMAN BOARD OF MANAGERS
THOMPSON, JUSTIN SHANE (CRD# 3200997) – ROP
YATES, WILLIAM RUFUS III (CRD# 4515188) – CHIEF EXECUTIVE OFFICER/ BOARD OF MANAGERS
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with BB&T Securities and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
