According to the Financial Industry Regulatory Authority, Inc.’s (FINRA) public records, investment advisor and former broker Joseph Devlin Coleman has fifteen disclosed customer disputes. FINRA registers and regulates brokers and brokerage firms.
Joseph Coleman’s customers filed the claims between February 2001 and January 2018. Ten of the claims settled in amounts ranging from $15,000 to $325,000. Collectively, the settlements to customers exceeded $1 million. Three claims were denied or closed, and two claims are pending. Some of the claims allege losses from misconduct such as unsuitable investments, unauthorized trading, churning, misrepresentations or omissions, or breach of contract.
Additionally, FINRA suspended Joseph Coleman from November 6, 2017 through December 18, 2017 and fined him $5,000 for allegedly making unauthorized trades in five customer accounts. Coleman neither admitted nor denied the findings.
According to FINRA records, Joseph Coleman worked for IFS Securities from July 2016 to February 2017 and he has not been employed by a brokerage firm since leaving. He was previously employed by Stifel, Nicolaus & Company, Incorporated from June 2007 through July 2016.
If you suffered losses in while investing with Joseph Devlin Coleman, Marquardt Law Office LLC is interested in speaking with you. Contact the firm to receive a free phone consultation. Marquardt Law Office LLC is a securities law firm that represents investors nationwide who have suffered losses due to misconduct such as fraud and negligence.
Information about Joseph Devlin Coleman was based on his FINRA BrokerCheck records accessed on June 9, 2018.
