RedFlag, Allegation and/or Complaint against THOMAS STEPHEN COAKLEY
Disclosure #1 for THOMAS COAKLEY
- Event Date: 12/12/2016
- Disclosure Type: Customer Dispute
- Resolution: Closed-No Action
- Allegations: THE CLIENT ALLEGES THAT THE INVESTMENT ADVISOR DID NOT FOLLOW INSTRUCTIONS WHICH HAS COST A GREAT DEAL OF MONEY.
- Arbitration Docket Number:
- Broker Comment: THE ADVISOR REVIEWED THE INVESTMENT RECOMMENDATIONS AND TAX IMPLICATIONS OF THE FINANCIAL PLAN WITH THE CLIENT. THE FIRM ALSO FOUND THE FINANCIAL PLAN TO BE APPROPRIATE AND CONSISTENT WITH VANGUARD’S INVESTMENT AND ADVICE METHODOLOGY.
Should I file a FINRA complaint against brokers like THOMAS STEPHEN COAKLEY?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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