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Investor Alleges Sloan Thompson Failed to Follow Instructions

Feb 1, 2023 Investor Disputes

Sloan Thompson (CRD #: 2588490), a broker registered with Truist Investment Services, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on January 24, 2023. Investors may have also worked with him through Truist Advisory Services. If you want to know more about his alleged conduct as a broker, keep reading.

Investor Dispute

On November 22, 2022, an investor alleged that Sloan Thompson failed to follow their instructions. The client seeks $257,731 in damages in this pending dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions may violate this rule. 

Background Information

Sloan Thompson has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Sloan Thompson is a registered broker in 34 states and the District of Columbia. He is also a registered investment adviser in Georgia and Texas.

He has also worked for the following firms:

  • BB&T Securities (CRD#:142785)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Wachovia Securities (CRD#:19616)
  • First Union Capital Markets Corporation (CRD#:6124)
  • Wachovia Brokerage Service (CRD#:17503)
  • Wheat, First Securities (CRD#:6124)

Kurta Law Can Help

If you worked with Sloan Thompson and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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. 

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