STEPHEN JOHN KOACH is currently employed as a Broker and/or Investment Adviser at SECURITIES SERVICE NETWORK, LLC located at 8610 South Maryland Parkway, Apt 2082, Las Vegas, NV, 89123.
STEPHEN JOHN KOACH has worked at SECURITIES SERVICE NETWORK, LLC since August 21, 1995
Disclosure History
STEPHEN JOHN KOACH has 2 Disclosure Event(s).
Date: April 13, 2015 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THAT ON 09/27/2013 MR. KOACH RECOMMENDED AN INVESTMENT IN FAB UNIVERSAL CORP THAT DID NOT SUIT HIS NEEDS AND THAT MR. KOACH DID NOT TAKE INTO CONSIDERATION HIS AGE, RISK TOLERANCE AND OTHER CRITERIA WHEN MAKING THE RECOMMENDATION. THE SECURITY HAS BEEN DELISTED BY THE NYSE AND THE CLIENT IS SEEKING COMPENSATION.THE FIRM'S INVESTIGATION SHOWED THE CLIENT HAS OVER 40 YEARS OF INVESTMENT EXPERIENCE, WAS A STATE SENATOR SERVING ON THE FINANCE COMMITTEE FOR OVER 6 YEARS, SERVED AS AN ADVISOR TO THE NEW MEXICO STATE UNIVERSITY SCHOOL OF BUSINESS, FOUNDED AND SERVED ON THE BOARD OF DIRECTORS OF A BANK AND FOUNDED AND RAN THE [customers] INSURANCE AGENCY FOR MANY DECADES. CLIENT'S NET WORTH WAS IN EXCESS OF $5,000,000 HAD A "GROWTH" OBJECTIVE AND A "HIGH" RISK TOLERANCE. Damage Amount Requested: $75,000.00
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