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Susan Coriale Allegedly Failed to Provide Adequte Tax Advice

Susan Coriale (CRD #: 1132493), a broker registered with GWN Securities, is facing an investor dispute. This is according to her BrokerCheck record, accessed on February 2, 2024. Keep reading if you have questions regarding these allegations. 

On October 17, 2023, an investor alleged that Susan Coriale failed to provide adequate tax advice. She allegedly advised that the client move her assets from a tax-deferred annuity to a non-tax deferred joint mutual fund account, causing the client to incur a substantial tax liability. This also allegedly hurt the client’s social security income and medicare benefits. 

The client further alleged that Susan Coriale made a second recommendation that resulted in additional tax liabilities. 

The investor is seeking $264,205. 

FINRA Rule 2010

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

Background Information 

Susan Coriale 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 22 Direct Participation Programs Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

She is a registered broker in ten states. 

Susan Coriale has registered with the following firms:

  • GWN Securtiies (CRD #: 128929) 
  • PMG Securities Corporation (CRD #: 27107) 
  • Equico Securities (CRD #: 6627) 
  • The Equitable Life Assurance Society of the United States (CRD #: 4039) 

Kurta Law Can Help 

If you have worked with Susan Coriale and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.