There are options for clients of former Cetera Investment Services LLC broker Kerrie Coe (CRD# 4951159) who suffered losses. He has been registered with Wells Fargo Clearing Services, LLC in Indianapolis, Indiana, since 2024. He was registered with Cetera Investment Advisers LLC and Cetera Investment Services LLC in Indianapolis, Indiana, from 2014 to 2024.
He was registered with J.P. Morgan Securities LLC in Indianapolis, Indiana, from 2012 to 2023, when he was terminated regarding, “registered rep facilitated an advance on a client HELOC without client authorization.”
Kerrie Coe Customer Complaints
He has been the subject of two customer complaints, according to his CRD report:
December 2024. “Claimant alleges unsuitable investment recommendations with resulted in losses.” The customer is seeking $640,000 in damages, and the case is currently pending. The complaint was regarding structured product losses, and it took place while he was registered with Cetera Investment Services LLC.
September 2024. “Claimants allege unsuitable investment recommendations which resulted in losses.” The case is currently pending. The complaint was regarding mutual fund losses, and it took place while he was registered with Cetera Investment Services LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Cetera Investment Services LLC may be liable for investment or other losses suffered by Kerrie Coe’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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