June 2017- Dawsonville, GA
According to publicly available records Cathy Hall Couch (CRD#5276791) , a stockbroker who currently is employed by WFG Investments, Inc. , disclose a pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In FINRA case #17-00986, a WFG Investments, Inc. customer alleges unsuitable recommendations, material misrepresentations, high frequency trading and undue securities concentration or the period 2009-2016 and seeks damages of $1,500,000.
Cathy Couch has been with WFG Investments since August of 2000. Her other business activities include working with her husband, Tim Couch, PC, CPA as an accountant.
According to publicly available records , her husband Harry Tim Couch (CRD#4073942), a stockbroker who is also employed by WFG Investments, Inc. disclose a regulatory event, a pending customer dispute and a termination.
In a final regulatory action initiated by the US Securities and Exchange Commission in 2007, Tim Couch was sanctioned against practice before the SEC as an accountant for a period of four years after allegations that Couch “issued unqualified audit opinion letters for financial statements that were materially misstated.”
Tim Couch is also named in FINRA case #17-00986, as described above, with alleged damages of $1,500,000.
In 2008 TIm Couch was discharged from Triad Advisors, Inc. who made the following allegation on his FINRA record: “The Triad Compliance Department has concluded its review of the facts and circumstances surrounding a possible misappropriation of client funds by a third party, and the subsequent attempt to cover up by the representative. Triad has determined the representative violated Triad’s internal policies and procedures ”
If you have questions about an account handled by Cathy Hall Couch or Harry Tim Couch contact us to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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