DENISE CARPENTER THOMAS

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

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for DENISE CARPENTER THOMAS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.