Hilltop Securities Inc. broker Stephen Coma (CRD# 1414147) faces a customer complaint regarding unsuitable investment recommendations. He has been registered with Hilltop Securities Inc. in Charlotte, North Carolina since 2020. Previously, he was registered with Truist Securities, Inc. in Charlotte, North Carolina in August 2020. Prior to that, he was registered with BB&T Securities, LLC in Charlotte, North Carolina from 2013 to 2020.
Stephen Coma Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
June 2022. “Misrepresentations, omissions and unsuitability in connection with a bond offering relating to Claimant’s sale of its own assets.” The customer is seeking $13 million in damages and the case is currently pending. The complaint was regarding municipal debt.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Hilltop Securities Inc. may be liable for investment or other losses suffered by Stephen Coma’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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