Soreide Law Group, (888) 760-6552, has obtained this summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2014.”
William Bradford Coolidge (CRD #1636957, Registered Representative, Cordova, Tennessee)
was barred by FINRA for allegedly effecting trades in elderly clients’ accounts without written authorization or his firm’s acceptance of their accounts as discretionary.
FINRA's found that Coolidge allegedly traded in elderly clients’ Individual Retirement Accounts (IRAs) and individual accounts then switched mutual funds and unit investment trusts (UITs) to other mutual funds or UITs after holding the clients' investments for a short time.
Because of the customers’ age, their investment objectives, and the clients' risk profile or annual income, Coolidge’s recommendations were unsuitable and not consistent with their investment goals.
FINRA reported that Coolidge's elderly clients suffered losses totaling $195,127.37 and those clients paid him commissions totaling $168,091.21.
(FINRA Case #2012032916701)
William B. Coolidge was previously registered with the following FINRA firm(s):
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD# 793) - MEMPHIS, TN
03/2008 - 06/2012
WACHOVIA SECURITIES, LLC (CRD# 19616) - MEMPHIS, TN
06/2002 - 03/2008
WACHOVIA SECURITIES, INC. (CRD# 431) - CHARLOTTE, NC
10/2000 - 06/2002
PAINEWEBBER INCORPORATED (CRD# 8174) - WEEHAWKEN, NJ
08/2000 - 10/2000
J.C. BRADFORD & CO. (CRD# 1287) - NEW YORK, NY
11/1987 - 08/2000
The summation of information from FINRA's website ends here.
The Soreide Law Group represents investors nationwide before FINRA. Call for a free consultation with an attorney: (954) 760-6552.
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