Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has officially launched an investigation into Stephen Earl Sergan (CRD #2377041), a financial advisor currently registered with Truist Investment Services, Inc. and Truist Advisory Services, Inc. in Florida. We are focusing on recent investor concerns regarding possible omission of facts and the handling of client funds. If you worked with Stephen Sergan or have questions about your investments, we encourage you to continue reading and consider a confidential, free consultation to discuss potential recovery options.
Why Are We Investigating?
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Many investors trust their financial advisors to fully disclose all relevant details about accounts, recommendations, and changes, especially when it comes to matured investments. In October 2026, a customer formally disputed Stephen Sergan’s handling of two matured certificates of deposit (CDs). According to the complaint, Sergan failed to mention these matured CDs during an account review. As a result, the customer claims the funds remained uninvested and inaccessible, a situation described as an “omission of facts.â€
Although the firm is recorded as having denied this dispute, the seriousness of these allegations and the potential impact on investors warrant a thorough, independent legal review.
Who Is Stephen Earl Sergan?
- Current Employment: Registered Representative at Truist Investment Services, Inc. (CRD #17499) and Truist Advisory Services, Inc.
- Licensing: Passed SIE, Series 7, Series 63, and Series 66 exams
- Prior Employers: E*TRADE Securities LLC, RBC Capital Markets Corporation, Waddell & Reed, Inc.
- Location: Florida
According to the latest BrokerCheck records, Sergan does not have a history of reported regulatory actions, lawsuits, or prior customer disputes. However, the current denied dispute raises important questions about supervision, standard of care, and investor rights.
Red Flags & Investor Concerns in Sergan’s Case
| Red Flag | Details |
|---|---|
| Omission of Facts | Customer alleges Sergan failed to disclose two matured CDs during a review, leaving funds uninvested. |
| Denied Complaint | The dispute was denied by the firm, but the underlying issue remains unresolved for the client. |
| Potential Breach of Disclosure Obligations | Possible non-compliance with FINRA Rule 2010 and Regulation Best Interest requirements for transparency and disclosure. |
| Supervisory Concerns | Under FINRA Rule 3110, all investor complaints require rigorous review and oversight by the firm. |
Potential impact on you: If advisors fail to communicate about matured investments, your cash may sit idle. This can lead to lost returns, missed opportunities, and undermined trust in your financial relationship.
Your Investor Rights: Understanding the Standards
Financial advisors and their firms are held to rigorous professional and legal standards. Key obligations include:
- Full and Honest Disclosure: Your advisor must inform you of all material facts, including matured or expiring products like CDs. Omissions can deprive you of the chance to proactively manage or reinvest your funds.
- Best Interest Standard: Regulation Best Interest (Reg BI) requires broker-dealers to act in your best interest when making recommendations. This means putting your needs ahead of sales quotas, commissions, or firm interests.
- Supervision: Firms must monitor and respond promptly to customer complaints, helping ensure investors are protected and issues are addressed under FINRA Rule 3110.
- Transparency & Accountability: Investors have the right to clear, timely communication about account changes, investment options, and the disposition of maturing assets.
Specific List of Recorded Complaints & Findings Against Stephen Sergan
- October 2026 Complaint: One customer accused Stephen Sergan of omitting facts during an account review, specifically by not disclosing two matured certificates of deposit, which allegedly led to uninvested funds. This complaint was formally denied by the firm.
As of the date reflected in the referenced records, there are no other publicly reported complaints, lawsuits, regulatory actions, or disciplinary disclosures in the BrokerCheck summary for Stephen Sergan. Nonetheless, this allegation, especially one involving the potential for unrecovered funds, should not be dismissed lightly.
Why Choose Our Attorneys to Help Recover Your Losses?
- 98% success rate in hundreds of investor claims
- 95+ years of combined securities law experience
- Over $520 million recovered or handled in securities matters
- Top 2% peer-reviewed (Martindale-Hubbell AV Preeminent)
- Super Lawyers-designated
- 5.0-star client reviews
- No recovery, no fee — you do not pay unless we recover your funds.
Our attorneys are former Wall Street defense lawyers. We use our insider knowledge to vigorously fight for investors who believe they have suffered losses from mismanagement, non-disclosure, or conflicts of interest. Your trust and recovery are our top priorities.
What Should You Do If You Invested With Stephen Sergan?
- Review your recent account statements for matured investments or unexplained cash balances.
- Document every conversation and written communication with your financial advisor about account reviews, matured investments, and reinvestment options.
- Request a full account history and written confirmation of how matured assets were handled.
- Contact our experienced attorneys for a confidential review. We will examine your case, discuss your options, and pursue recovery if losses were caused by omissions, negligence, or misconduct.
Get Your Free Consultation Today
If you invested with Stephen Earl Sergan of Truist Investment Services, Inc. in Florida and have concerns about lost funds, unrecovered losses, or incomplete disclosure, contact us immediately. Do not wait. Timely action can be crucial to maximizing your recovery.
Call 1-888-885-7162 for a free, confidential case evaluation with our attorneys. There is no obligation, and we only get paid if we recover compensation for you.
Your trust and your financial future deserve a fierce advocate with proven experience and insider knowledge. Let us help you fight for what you are owed.