Investors potentially incurred losses because of securities broker Kerrie A. Coe (also known as Kerrie Cobb and Kerrie Lemon) [CRD: 4951159, Indianapolis, Indiana], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Coe worked for Cetera Investment Services LLC and Cetera Investment Advisers LLC from January 21, 2014, to September 17, 2024, and has been registered with Wells Fargo Clearing Services LLC and Wells Fargo Advisors since September 17, 2024. Investors should continue reading to find out more about disclosures involving Coe.
Evidently, on November 1, 2024, a Cetera Investment Services LLC client filed FINRA Arbitration No. 24-02368 concerning Kerrie Coe. Mainly, the client alleged that Coe made unsuitable recommendations. Because of this, the client allegedly experienced damages related to structured products. As a result, the client requested $640,000 in compensation from Cetera Investment Services LLC or Coe. It appears that this arbitration remains pending.
Notably, a client of Cetera Investment Services LLC disputed Coe’s sales practices by filing FINRA Arbitration No. 24-01948. Allegedly, Coe made unsuitable recommendations. It appears that Coe allegedly caused the client to sustain damages involving mutual funds. Consequently, Cetera Investment Services LLC opted to settle the matter on October 9, 2025, by paying the client $65,000.
Did you experience losses because of Kerrie Coe? Contact Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Coe and brokerage firms Coe worked for deny accusations of sales practice violations.
ROBERT SCOTT SMITH (ROBERT S SMITH) is currently registered as a broker with EMERSON EQUITY LLC of Newberg, Oregon, since 4/3/2020. He was previously registered as a broker with CONCORDE INVESTMENT SERVICES LLC of Newberg, Oregon, 05/06/2011 - 04/06/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ROBERT S SMITH has 39 […]
MARILEE ANN HILL (MARILEE A HILL, MARILEE ANN HANSEN) has been registered as a broker with EMERSON EQUITY LLC of San Mateo, California, since 3/26/2020. She was previously registered with PRIMEX of Christiansted, St. Croix, VI, from 10/13/2014 - 04/20/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MARILEE A HILL has […]
Investors potentially experienced sales practice violations by securities broker Nicholas Thomas Stafford IV (also known as Nicholas Lance and Lance Stafford) [CRD: 2900449, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stafford worked for Bridge Capital Associates Inc. from January 10, 2020, to March 3, 2022, Emerson Equity […]
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