Gabriel Swan (CRD: 5821532) faces a pending customer claim that alleges $180,000 in damages, according to BrokerCheck. In it, the customer alleges Swan failed to stop him from withdrawing funds, and Swan denies any wrongdoing.
Soreide Law Group is investigating possible investor claims against securities broker Stephen Coma AKA Stephen Robert Coma [CRD#: 1414147, Charlotte, NC]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Hilltop Securities. Evidently, investors allege sales practice violations in these disputes, including that Coma made misrepresentations and omissions, and made unsuitable transactions. Here is a brief summary of the disclosures about Coma.
Evidently, on June 8, 2022, a Hilltop Securities client filed FINRA Arbitration #: 22-01277 about Stephen Coma. Namely, the client alleged that Coma made misrepresentations and omissions, and made unsuitable transactions. Because of this, the client sustained damages on municipal bonds. Therefore, the client requested $13,000,000 in compensation from Hilltop Securities or Coma. Evidently, this arbitration is pending a resolution.
Stephen Coma worked for Truist Securities in Charlotte, NC, as a securities broker from August 3, 2020 to August 5, 2020. Coma works for Hilltop Securities in Charlotte, NC, as a securities broker since August 4, 2020.
Have you suffered damages because of securities broker Stephen Coma? If so, contact Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has effectively recovered money for investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Coma and brokerage firms Coma was employed by deny any and all allegations of sales practice violations.
Gabriel Swan (CRD: 5821532) faces a pending customer claim that alleges $180,000 in damages, according to BrokerCheck. In it, the customer alleges Swan failed to stop him from withdrawing funds, and Swan denies any wrongdoing.
A pending customer claim on the BrokerCheck report of John Ravsten (CRD: 5634077) alleges $118,000 in damages. The claimant alleges misrepresentation and says the investment did not suit the claimant's situation.
A pending $2,500,000 customer claim over DST investments appears on the BrokerCheck report of Wendy Kretschmer (CRD: 3111589). The claimants allege that WestPark recommended the investments, and the claim remains open.
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