ALLAN ROY GRIBBEN is currently employed as a Broker and/or Investment Adviser at BB&T SECURITIES, LLC located at 901 E. BYRD STREET, RICHMOND, VA, 23219.
ALLAN ROY GRIBBEN has worked at BB&T SECURITIES, LLC since October 14, 2015
ALLAN ROY GRIBBEN has 2 Disclosure Event(s).
Date: February 20, 1990 Category: Regulatory Initiated By: ARKANSAS Allegations: CONSENT ORDER NO.89-39-S IS ENTERED IN LIEU OF THE FILING OF A COMPLAINT BY THE STAFF OF THE DEPARTMENT IN FULL SETTLEMENT OF ALL CLAIMS AGAINST ALLAN ROY GRIBBEN. THE FINDINGS THAT RESULTED FROM THE DEPARTMENTS EXAMINATION OF GRIBBEN'S BUSINESS TRANSACTIONS WITH HIS CUSTOMER CAPITAL SAVINGS & LOAN ASSOCIATION OF PHOENIX,ARIZONA REASONABLY SUPPORT THE ALLEGATION THAT GRIBBEN ENGAGED IN UNETHICAL SALES PRACTICES WITHIN THE MEANING OF RULE 308.01AND ARK. CODE ANN. SS23-42-308(A)(2)(G)(1987), AND THAT GROUNDS EXIST FOR THE SUSPENSION OR REVOCATION OF HIS REGISTRATION. Resolution: Consent Sanction Details: GRIBBEN CONSENTED TO THE ENTRY OF THIS ORDER WITHOUT ADMITTING OR DENYING ANY WRONGDOING OR VIOLATION OF THE ACT OR RULES AND AGREES TO ABIDE BY ITS TERMS. IT IS THEREFORE ORDERED THAT ALLAN ROY GRIBBEN, IV, SHALL NOT BE REGISTERED AS AN AGENT IN ARKANSAS, NOR SHALL HE MAKE APPLICATION TO BECOME REGISTERED,FOR A PERIOD OF SIX (6) MONTHS FROM THE DATE OF THIS ORDER.
Date: January 01, 1988 Category: Customer Dispute Allegations: UNSUITABLE INVESTMENT ADVICE. AMOUNT OF CLAIMN/A. Settlement Amount: $10,000.00 Broker Comment: WE SETTLED FOR $10,000.00 WITH NO ADMISION OFGUILT OR INNOCENCE TO THE CLAIMCAPITOL BANK (BILL BRANDT) HAD AUTHORIZED EACH &EVERY TRADE EXECUTED. HIS INITIAL PHONE CONVERSATION INCLUDEDHIS YEARS OF EXPERIENCE TRADING BOND FUTURES. I SOLD & BOUGHTDIRECT, OR IDIRECT OBLIGATIONS OF THE US. THE ACCOUNT WASAGRESSIVE IN CAPITALIZING ON SHORT TERM MARKET MOVES. MR BRANDTWAS ALSO EXECUTING TRADES WITH SEVERAQL OTHER BROKERS. MRBRANDT, AND CAPITOL BANK AGREED AND SIGNED AL OF THE AGREEMENTSTO ENTER INTO THESE TRANSACTIONS. MR BRANDT, THE PORTFOLIOMANAGER, WAS FULLY AWARE OF EVERY TRADE, HIS CURRENTPROFIT/LOSS POSITION ON A DAILY BASIS.
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