Former Suntrust Investment Services, Inc. broker Todd Gauthier (CRD# 1429968) was accused of customer investment losses due to recommendations to invest in options. He has been registered with Truist Investment Services, Inc. in Alpharetta, Georgia since 2009. Previously, he was registered with Suntrust Investment Services, Inc. in Cumming, Georgia from 2009 to 2016.
Todd Gauthier Customer Complaints
He has been the subject of two customer complaints between 2003 and 2022, one of which was denied, according to his CRD report:
January 2022. “Letter from attorney claiming negligence and suitability issues.” The case is currently pending. The complaint was regarding options losses. The complaint took place while he was registered with Suntrust Investment Services, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Suntrust Investment Services, Inc. may be liable for investment or other losses suffered by Todd Gauthier’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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