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FINRA Investigates Charles Alley Following Resignation from Coker & Palmer

Sep 23, 2022 Employment

Charles Alley (CRD #: 4584662), a broker formerly registered with Coker & Palmer, is currently under investigation by FINRA, according to his BrokerCheck record, accessed on September 18, 2022. If you have questions about his conduct as a broker, keep reading.

Resignation from Coker & Palmer and FINRA Investigation

On July 1, 2022, Charles Alley resigned from Coker & Palmer. That same day, FINRA announced an investigation into an allegation by the firm that Charles Alley took confidential client information prior to or at the time of his resignation.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Charles Alley has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

He has also worked for the following firms:

  • Coker & Palmer (CRD#:29163)
  • UBS Financial Services (CRD#:8174)
  • Carolina Capital Markets (CRD#:38156)

Kurta Law Can Help

If you worked with Charles Alley and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.