CORAL GABLES, FLORIDA
Have you lost money with financial advisor Stephen Berrocal, formerly with Suntrust Investment Services in Coral Gables, Florida? We are looking into allegations made against Stephen or Steve Berrocal. Berrocal has been the subject of four customer complaints, all of which were made within the last 14 months. The complaints allege losses in Northstar GICs, or guaranteed investment contracts. The Northstar GICs allegedly lost significant value.
Stephen Berrocal has been with Suntrust Investment Services (now Truist) from 2013 to the present. He has worked at branch offices in Coral Gables, Florida.
Brokerage firms like Suntrust Investment Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Suntrust Investment Services.
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