Edward Thomas Coda is currently employed as a Broker and/or Investment Adviser at SAGEPOINT FINANCIAL, INC. located at 615 PIIKOI STREET, SUITE 1205, HONOLULU, HI, 96814.
Edward Thomas Coda has worked at SAGEPOINT FINANCIAL, INC. since October 25, 2017
Disclosure History
Edward Thomas Coda has 4 Disclosure Event(s).
Date: January 22, 2010 Category: Customer Dispute Allegations: ATTORNEY FOR CLAIMANTS ALLEGES MISREPRESENTATION, PROFESSIONAL NEGLIGENCE, BREACHES OF FIDUCIARY DUTIES CONCERNING AN ESTATE PLANNING RECOMMENDATION OF A PRIVATE FAMILY FOUNDATION. Damage Amount Requested: $115,899.00 Settlement Amount: $45,000.00 Broker Comment: WHILE NHF, A PUBLIC FOUNDATION, IS UNDER CHAPTER 11 REORGANIZATION, IT CANNOT BE DETERMINED IF THERE WILL BE A LOSS. COMPLAINT BY CHILDREN OF DECEASED CLIENT. POTENTIAL LOSS DUE TO CH 11 BANKRUPTCY OF REFERRED DONOR ADVISED FUND MAY STILL BE RECOVERED.
Date: October 21, 2009 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE MISREPRESENTATION, FRAUD, CIVIL CONSPIRACY, AND NEGLIGENT FAILURE TO DISCLOSE Settlement Amount: $1,543,000.00 Broker Comment: CIVIL LITIGATION (DOCKET NO. 09-1-2282-10) CONSOLIDATED INTO CURRENT CIVIL LITIGATION (DOCKET NO. 09-1-2281-10).ALTHOUGH I WAS NAMED IN THE LITIGATION, THE VEBA WAS PROMOTED BY AN AIG COMPANY, AMERICAN GENERAL LIFE. THE PRODUCTS I OFFERED THE CLIENTS WERE APPROVED AND PAID THROUGH THE BROKER DEALER SUNAMERICA SECURITIES INC., WHICH WAS BOUGHT BY AIG.
Date: October 09, 2009 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE FRAUD AND BREACH OF FIDUCIARY DUTY. Damage Amount Requested: $2,018,498.00 Settlement Amount: $40,000.00
Date: November 03, 2004 Category: Customer Dispute Allegations: CUSTOMER ALLEGES IRS DEMAND FOR DELINQUENT TAXES AS A RESULT OF COLLECTION OF DIVIDENDS AND SALE OF STOCKS IN HER ACCOUNT. Damage Amount Requested: $120,241.00
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