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Client Alleges Thomas Coughlin Failed in His Supervisory Duties in Connection to investments

Thomas Coughlin

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 8, 2017 indicate that Pennsylvania-based Oppenheimer & Company broker Thomas Coughlin is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Coughlin (CRD# 826112).

Thomas Coughlin has spent 41 years in the securities industry and has been registered with Oppenheimer & Company in Bethlehem, Pennsylvania since 1988. He was previously registered with Fahnestock International (1976-1988). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 18, 1987; PC (AMEX Put and Call Exam), which he obtained on August 31, 1977; Series 7 (General Securities Representative Examination), which he obtained on August 16, 1975; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on May 17, 1991. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Connecticut, Delaware, Florida, Georgia, Kentucky, Maryland, Michigan, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, South Carolina and Wyoming. He is also registered with nine self-regulatory organization (SROs): the Chicago Board Options Exchange, the Chicago Stock Exchange, FINRA, NYSE American LLC, NYSE Arca, Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, Thomas Coughlin has received one pending customer complaint.

In August 2017 a customer alleged Thomas Coughlin, while employed at Oppenheimer & Company, failed in his supervisory duties in connection to investments in closed-end funds and common and preferred stock products. The customer is seeking $1,000,000 in damages in the pending complaint.

If you have lost money investing with Thomas Coughlin, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.


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