Walter S. Hall Investigation
May 2022-Memphis, TN
The FINRA records of Walter Scott Hall, an unregistered broker, last employed with Coastal Equities, discloses 2 terminations from employment.
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 2/2022 Hall was discharged from his employment with Coastal Equities , who made the following allegation on Hall‘s FINRA record: “Mr. Hall admitted that he created a fictitious Promissory Nate and forged a signature on the note. The purported note holder was not a customer of the firm.” He had been with Coastal Equities since 9/2020.
Earlier in his career, in 6/2020, Hall was discharged from NY Life Securities who made this allegation on Hall’s FINRA record: “Mr. Hall was terminated after the company’s review of his business practices raised a number of concerns of his business practices, which included service-related complaints.” Hall had been with NY Life since April of 2007.
If you have losses in an account handled by Walter Hall call to learn how you may be entitled to collect damages through FINRA arbitration.
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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