William Gamble Allegedly Executed Unauthorized Transactions
William Gamble (CRD #: 1524488), a broker registered with Truist Investment Services, is involved in a pending dispute, according to his BrokerCheck record, accessed on July 24, 2022. Investors may also have engaged his services through Truist Advisory Services. If you want to know more about William Gamble’s conduct as a broker, read on.
In a dispute filed on June 9, 2022, an investor alleged that William Gamble executed unauthorized transactions involving two corporate bonds, resulting in the bonds being liquidated and the proceeds being transferred to an unknown account. This dispute is currently pending.
FINRA Rule 3260
FINRA Rule 3260 requires brokers to receive written authorization from their clients before engaging in discretionary trading. The client and the firm must approve discretionary accounts before this trading can occur.
William Gamble 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
- Series 8 – General Securities Sales Supervisor Examination (Options Module & General Module)
William Gamble is a registered broker in 17 states and a registered investment adviser in Florida and Texas.
He has also worked for the following firms:
- BB&T Securities (CRD#:142785)
- Wells Fargo Advisors (CRD#:19616)
- First Union Brokerage Services (CRD#:8112)
- Fidelity Brokerage Services (CRD#:7784)
- Fidelity Distributors Corporation (CRD#:6848)
Kurta Law Can Help
If you worked with William Gamble and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.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.