Stephen Coupe, Financial Advisor Stephen Coupe Fined by State of Washington Securities Division
Goodman & Nekvasil P.A., May Recover Investor Losses | Stephen Coupe, Financial Advisor Stephen Coupe Fined by State of Washington Securities Division
Stephen Coupe CRD #2061979
From 2008 until Stephen Coupe’s discharge in 2017, Stephen Coupe was licensed with First Allied Securities, Inc. According to FINRA’s records, Stephen Coupe was discharged from First Allied Securities on April 12, 2017. First Allied Securities, Inc. reported to FINRA that Stephen Coupe allegedly violated firm’s policy by exercising discretion in client brokerage accounts with the firm’s approval.
The State of Colorado Department of Financial Institutions Securities Division entered into a consent order with Stephen Coupe on September 18, 2018. The consent order states that Stephen Coupe was registered as a securities salesperson and an investment adviser representative when Stephen Coupe exercised unauthorized discretion in brokerage customers’ accounts.
If you lost any money on investments with Stephen Coupe, you may be able to recover your losses from First Allied Securities, Inc. This is because First Allied Securities, Inc. had a duty to supervise Stephen Coupe.
If you lost money on investments with Stephen Coupe and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against First Allied Securities, Inc. concerning Stephen Coupe’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Goodman & Nekvasil, P.A. has recovered approximately $170 million on behalf of victimized investors. If you lost money on investments with Stephen Coupe and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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