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Kerri Coe is Facing Allegations that She Recommended a Poor Investment

Kerri Coe (CRD #: 4951159), a broker registered with Cetera Investment Services, is the subject of an investor dispute. This is according to her BrokerCheck record, accessed on February 26, 2024. Keep reading if you have questions regarding her alleged conduct. 

Investor Allegations 

On November 22, 2023, an investor alleged that Kerrie Coe offered a poor investment recommendation. The dispute was denied, but investors should know that firms can deny disputes without an external review. Investors may be able to recover their losses after a denial by pursuing FINRA arbitration. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Poor investment advice may violate this rule. 

Background Information 

Kerri Coe has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination

He is a registered broker in nine states and is a registered investment adviser in Indiana. 

During her 18 years of experience, she has registered with five firms: 

  • Cetera Investment Services (CRD #: 15340) 
  • Cetera Investment Advisers (CRD #: 105644) 
  • J.P. Morgan Securities (CRD #: 79) 
  • Chase Investment Services (CRD #: 25574) 
  • Banc One Securities Corporation (CRD #: 16999) 

Kurta Law Can Help 

If you have worked with Kerrie Coe and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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