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Investor Alleges Anthony Marshall Failed to Execute

Anthony Marshall (CRD #: 4853760), a broker registered with Truist Investment Services, allegedly failed to execute transactions, according to his BrokerCheck record, accessed on May 4, 2023. Investors may have also engaged his services through Truist Advisory Services. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On February 22, 2023, an investor alleged that Anthony Marshall failed to execute a request to move an investment portfolio out of equities in January 2022, instead executing the trades in July. The client sought $60,000 in damages but the firm denied the dispute.

Investors should know, however, that firms don’t need to permit an external review before denying a dispute. Investors can still seek out FINRA arbitration and potentially recover their losses after a denial.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Anthony Marshall has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 24 – General Securities Principal Examination

Anthony Marshall is a registered broker in 11 states and a registered investment adviser in Georgia.

He has also worked for the following firms:

  • SunTrust Investment Services (CRD#:17499)
  • Wells Fargo Advisors (CRD#:19616)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Banc of America Investment Services (CRD#:16361)
  • Wachovia Securities (CRD#:19616)

Kurta Law Can Help

If you worked with Anthony Marshall and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.