Investors potentially experienced losses because of securities broker Jamie Theresa Nowakowski (also known as Jamie Ogren and Jamie Stella) [CRD: 4472043, Venice, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Nowakowski worked for Equitable Advisors LLC from February 11, 2020, to January 7, 2025, and for Coastal Equities Inc. from January 16, 2017, to February […]

Investors potentially experienced losses due to securities broker Ray Don Gallette [CRD: 3041923, El Dorado Springs, Missouri], according to disclosures on FINRA BrokerCheck. Evidently, Gallette worked for Coastal Equities Inc. from January 4, 2013 to January 29, 2020. Keep reading to learn more about the disclosures involving this securities broker and the types of investments […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Lorraine Gallette (also known as Lorraine Marie Schmidt) (CRD#: 6192487, El Dorado Springs, Missouri). Gallette was previously registered with Coastal Equities Inc. from July 2013 to January 2021 and later joined Moloney Securities Co. Inc., where she remained until April 2022. Recent disclosures reveal […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Luke M. Johnson (also known as Luke Johnson) [CRD: 3257008, Scottsdale, Arizona]. Johnson worked for Coastal Equities, Inc. from April 2012 to December 2019. Recent disclosures reveal concerns about Johnson’s conduct, including allegations of unsuitable recommendations, misrepresentation, and regulatory violations. Coastal Equities Client Files […]

Investors might have sustained losses because of securities broker Luke Michael Johnson [CRD: 3257008, Scottsdale, Arizona]. Johnson worked for Coastal Equities Inc. from April 3, 2012, to December 13, 2019. Below, you'll find information about some investor disputes concerning Johnson. You'll also learn more about a recent FINRA case where the regulator sanctioned him for […]

Soreide Law Group is investigating possible investor claims against securities broker Luke Michael Johnson [CRD: 3257008, Scottsdale, Arizona]. Notably, FINRA filed an enforcement or civil action against the securities broker, who worked for Coastal Equities Inc., regarding suitability and falsification of information. Here is a brief summary of FINRA’s allegations against Johnson. FINRA Charges Johnson […]

Investors have come forward with complaints about securities broker Thomas Caine Shultz (CRD:  5614228, Scottsdale, AZ). Evidently, the securities broker, who worked for Coastal Equities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Coastal Equities Inc. clients allege that Shultz made unsuitable recommendations and failed to perform due diligence. For more […]

Soreide Law Group is investigating possible investor claims against securities broker Robert Mehlin (also known as Robert Charles Mehlin Jr.) (CRD:  736694, Fairfield, NJ). Evidently, Coastal Equities Inc. terminated the securities broker for cause following FINRA sanctions. Here is a brief summary of the disclosures concerning this securities broker. Coastal Equities Inc. Disaffiliates With Robert […]

Broker Dudley Stephens Sanctioned By FINRA, Involved In An Investor Dispute Soreide Law Group is reviewing investor complaints concerning securities broker Dudley Franklin Stephens “Stephen Franklin Dudley” (CRD#: 4119268, New York, New York), as disclosed on FINRA BrokerCheck. It appears that Stephens worked for Coastal Equities (2016 to 2018) and Prospera Financial Services (2014 to […]