Coastal Equities Pays Customer For Bad Recommendations

Katherine Salome Horgan of Needham Massachusetts a stockbroker formerly employed by Coastal Equities Inc. and investment adviser representative of Heritage Wealth Management Inc. is the subject of a customer initiated investment related written complaint which settled for $40,000.00 on February 21, 2018 supported by accusations that Horgan placed stock transactions in the customer’s account that were not suitable for the customer because they failed to conform to the customer’s objectives for investing.

Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on February 7, 2018, a customer initiated investment related complaint regarding Horgan’s conduct was resolved for $56,334.00 in damages based upon allegations that Horgan placed the customer in inappropriate equity investments, failing to consider the customers investment goals.

Horgan’s registration with Coastal Equities Inc. has been terminated as of March 29, 2017.

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