Israels & Neuman, PLC Investigates Jaret Mutter, Formerly of SunTrust Investment Services
Have you lost money with financial advisor Jaret C. Mutter, formerly with SunTrust Investment Services in Roanoke, Virginia? We are investigating allegations of customers related to Jaret Mutter. Mutter has been the subject of five customer complaints. One customer complaint alleges that Mutter sold unsuitable UITs (unit investment trusts) from 2012 to 2014, and in another matter, SunTrust Investment Services was ordered to pay $49,000 to a customer regarding investments serviced by Mutter.
Moreover, Mutter was placed on special supervision for one year according to an order by the Virginia Corporation Commission. Mutter has since complied with that order.
Jaret Mutter was a registered representative of SunTrust Investment Services from 2007 to August 2014. He also was registered with Investment Centers of America from August 2014 to October 2017, and with Cetera Advisor Networks from October 2017 to the present. He works at a branch office in Roanoke, Virginia.
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; Ann Arbor, Michigan; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Virginia. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against SunTrust Investment Services.
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