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.

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