{"id":11774,"date":"2025-10-17T09:17:50","date_gmt":"2025-10-17T13:17:50","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11774"},"modified":"2025-10-17T09:17:50","modified_gmt":"2025-10-17T13:17:50","slug":"truist-broker-santiago-torres-jr-barred-for-failure-to-provide-information-to-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/truist-broker-santiago-torres-jr-barred-for-failure-to-provide-information-to-finra\/","title":{"rendered":"Truist Broker Santiago Torres Jr. Barred For Failure To Provide Information To FINRA"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10372 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/01\/FiverRecoverysmall.jpg\" alt=\"Santiago Torres Jr. (CRD# 5644622), a financial broker in Sinking Spring, Pennsylvania, with 14 years of industry experience, has been permanently barred from associating with any FINRA member firm after failure to provide information and documents to FINRA and failing to appear for on-the-record testimony.\n\nTorres Jr. had allegations from customers (his wife\u2019s cousin and other family members) of falsified customer documents and misappropriated funds. According to public records, the customers in this case were Torres Jr.\u2019s wife\u2019s cousin and other family members. Multiple family members made allegations of damage due to misappropriated funds, specifically CDs and Annuity fixed CDs. Three of these complaints have settled for the amounts of $190,000, $17,500.00 and $45,000.\n\nAt the time of the alleged misconduct, Torres Jr. was employed by Truist Investment Services, Inc. September 2024 Truist Investment Services terminated Torres Jr\u2019s employment.\u00a0\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/01\/FiverRecoverysmall.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/01\/FiverRecoverysmall-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Santiago Torres Jr. (<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/5644622\" target=\"_blank\">CRD# 5644622<\/a>), a financial broker in Sinking Spring, Pennsylvania, with 14 years of industry experience, has been permanently barred from associating with any FINRA member firm after failure to provide information and documents to FINRA and failing to appear for on-the-record testimony. <a href=\"https:\/\/www.silverlaw.com\/blog\/truist-broker-santiago-torres-jr-barred-for-failure-to-provide-information-to-finra\/#more-11774\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Santiago Torres Jr. (CRD# 5644622), a financial broker in Sinking Spring, Pennsylvania, with 14 years of industry experience, has been permanently barred from associating with any FINRA member firm after failure to provide information and documents to FINRA and failing to appear for on-the-record testimony. Continue reading \u203a<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11774","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Truist Broker Santiago Torres Jr. Barred By FINRA<\/title>\n<meta name=\"description\" content=\"Santiago Torres Jr., a broker in Sinking Spring, Pennsylvania has been permanently barred from associating with any FINRA member firm.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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Torres Jr., a broker in Sinking Spring, Pennsylvania has been permanently barred from associating with any FINRA member firm.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/truist-broker-santiago-torres-jr-barred-for-failure-to-provide-information-to-finra\/","twitter_card":"summary_large_image","twitter_title":"Truist Broker Santiago Torres Jr. Barred By FINRA","twitter_description":"Santiago Torres Jr., a broker in Sinking Spring, Pennsylvania has been permanently barred from associating with any FINRA member firm.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/01\/FiverRecoverysmall.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 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