Coastal Equities Inc.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/30/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150444762-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Coastal Equities, Inc., Respondent Broker-Dealer CRD No. 23769 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Coastal Equities, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2015044476201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/16/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061213401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Coastal Equities, Inc. (Respondent) Member Firm CRD No. 23769 Pursuant to FINRA Rule 9216, Respondent Coastal Equities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019061213401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/09/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052325702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Coastal Equities, Inc., Respondent Member Firm CRD No. 23769 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Coastal Equities, Inc. ("Coastal" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017052325702data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/09/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041310602 TO: Department ol Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Coastal Equities, Inc. (BD No. 23769), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Coastal Equities, Inc. ("Coastal" or the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2014041310602data-portal.finra.org finra.org

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