Coastal Equities, Inc.

Date:

January 12, 2023

Type of alert:

FINRA AWC  

Coastal Equities, Inc. entered into a FINRA Acceptance, Waiver, and Consent. The firm allegedly failed to supervise a registered representative who engaged in excessive and unsuitable trading. The firm consented, without admitting or denying the claims, to a censure, $150,000 fine, and restitution of $268,800.

Contact Us If You Believe You Have a Case

"*" indicates required fields

Name*

Please note: We are unable to take cases with losses of less than $50,000.

This field is for validation purposes and should be left unchanged.

This site contains attorney advertising. The attorneys at ChapmanAlbin are licensed to practice law in Ohio and Michigan. Any reference to past cases or successes made herein should not be construed as a guarantee of any future outcome. Each client and each client’s case is unique, and no result or outcome is or can ever be guaranteed. The information provided in this website is offered for general information purposes only; it is not offered as and does not constitute legal advice in any way. // Disclaimer