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Michael Coombe Involved in Pending Investor Dispute

May 4, 2022 Investor Disputes

Michael Coombe (CRD #: 2120683), a broker registered with Robert W. Baird & Company, is the subject of an investor dispute, according to his BrokerCheck record, accessed on April 25, 2022. If you want to know more about Michael Coombe’s conduct as a broker, keep reading.

Investor Dispute

On January 12, 2022, beneficiaries of a trust alleged that Michael Coombe failed to reinvest trust assets on the agreed-upon date, resulting in the beneficiaries missing out on market gains. This dispute is pending.

FINRA Rule 2010 

FINRA Rule 2010 requires brokers to uphold high standards of commercial honor as well as just and honorable principles of trade. 

Background Information

Michael Coombe 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

Michael Coombe is a registered broker in eight states and a registered investment adviser in Ohio, Oklahoma, and Texas.

He has also worked for the following firms:

  • Legg Mason Investment Counsel (CRD#:133370)
  • Sena Weller Rohs Williams(CRD#:117048)
  • RDSC (CRD#:7519)
  • McDonald & Company Securities (CRD#:566)
  • Gradison & Company (CRD#:859)

Kurta Law Can Help

If you worked with Michael Coombe 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.