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Thomas Dietrich is the Subject of a Managed Account Dispute

Thomas Dietrich (CRD #: 3249452), a broker registered with Truist Investment Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on December 8, 2023. Keep reading if you have questions about his alleged conduct. 

On September 11, 2023, an investor named Thomas Dietrich in an investor dispute alleging the dissatisfactory performance of her managed accounts. The investor is requesting the reimbursement of the management fees. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Dissastisfactory performance may indicate a violation of FINRA Rule 2010. 

What Are Managed Accounts?

Managed accounts often come with higher fees than self-directed brokerage accounts and may be unsuitable for many investors. Actively managed mutual funds are examples of managed accounts. 

Background Information 

Thomas Dietrich 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 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 27 states and is a registered investment adviser in Florida, Texas, and Louisiana. 

Thomas Dietrich has registered with the following firms: 

  • Truist Investment Services (CRD #: 17499) 
  • Truist Advisory Servies (CRD #: 283390) 
  • SunTrust Investment Services (CRD #: 17499) 
  • Wells Fargo Advisors (CRD #: 19616) 
  • Edward Jones (CRD #: 250) 
  • Pan-American Financial Advisers (CRD #: 15578) 

Kurta Law Can Help 

If you have worked with Thomas Dietrich and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.