DENISE CARPENTER THOMAS is currently employed as a Broker and/or Investment Adviser at SUNTRUST INVESTMENT SERVICES, INC. located at 76 S LAURA STREET, 20TH FLOOR- STIS WEALTH, JACKSONVILLE, FL, 32202.
DENISE CARPENTER THOMAS has worked at SUNTRUST INVESTMENT SERVICES, INC. since June 27, 2005
Disclosure History
DENISE CARPENTER THOMAS has 2 Disclosure Event(s).
Date: May 01, 2009 Category: Customer Dispute Allegations: THE CLIENT'S ATTORNEY ALLEGED, AMONG OTHER THINGS THAT SUNTRUST INVESTMENT SERVICES, INC. AND THE REPRESENTATIVE PLACED THE CLIENT IN UNSUITABLE AND UNDIVERSIFIED INVESTMENTS AND BREACHED A FIDUCIARY DUTY TO THE CLIENT. Damage Amount Requested: $490,000.00 Settlement Amount: $120,000.00 Broker Comment: INVESTMENT RECOMMENDATIONS WERE SELECTED AFTER EXTENSIVE MEETINGS AND CONVERSATIONS WITH THE CLIENT AND AFTER CLIENT EXPRESSLY REJECTED OTHER, MORE CONSERVATIVE RECOMMENDATIONS. ALL RECOMMENDATIONS WERE APPROVED BY THE CLIENT AND WERE CONSISTENT WITH THE CLIENT'S STATED NEEDS AND OBJECTIVES.
Date: May 08, 2007 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT SOMETIME IN LATE 2001, THE FINANCIAL ADVISOR FAILED TO FOLLOW INSTRUCTIONS TO PUT A STOP LOSS ON HER ACCOUNT RESULTING IN LOSSES. Damage Amount Requested: $65,000.00
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