Last Updated: September 2023 (Charlotte, NC)
Stephen Coma Investigation Summary
Here’s what you need to know about Charlotte, NC, stockbroker Stephen R. Coma:
- Name: Mr. Stephen Robert Coma
- Current Employer: Hilltop Securities
- Previous Firms: Truist Securities, BB&T Securities, Scott & Stringfellow LLC, Banc of America Securities, Merrill Lynch Pierce Fenner & Smith Inc.
- Function: Stockbroker/ Financial Advisor-Managing Director
- Aliases: Steve Coma
- Primary Location: Charlotte, NC
- CRD #1414147
- Can Steve Coma be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute: Yes – customer seeks $13,000,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Stephen Coma As Your Stockbroker?
In August 2022, a customer of Hilltop Securities filed a FINRA arbitration seeking damages of $13 million and alleging that Steve Coma made misrepesentations, ommissions and an unsuitable recommendation in connection with a bond offering relating to Claimant’s sale of its own assets. This matter is currently pending.
Allegations of Broker Misconduct Against Steve Coma
A customer of Steve Coma has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
- Misrepresentations
- Omissions
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Steve Coma, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
