Articles Tagged with GWN Securities

Susan CorialePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2019 indicate that Hawaii-based GWN Securities broker Susan Coriale has received several pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Coriale (CRD# 1132493).

Susan Coriale has spent 35 years in the securities industry and has been registered with GWN Securities in Princeville, Hawaii since 2004. Previous registrations include PMG Securities Corporation in Elgin, Illinois (1995-2004); Equico Securities in New York, New York (1983-1995); and the Equitable Life Assurance Society of the United States in New York, New York (1983-1995). She has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on June 30, 1999; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on November 21, 1989; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; Series 22 (Direct Participation Programs Representative Examination), which she obtained on August 19, 1987; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on November 7, 1983. She is a registered broker with seven US states: Arizona, Florida, Hawaii, Nevada, New Mexico, New York, and North Carolina.

According to her BrokerCheck report, she has received five pending customer complaints.

William Paterson

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that former Florida-based GWN Securities broker/adviser William Paterson has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Paterson (CRD# 3132630).

William Paterson has spent 17 years in the securities industry and was most recently registered with GWN Securities in Palm Beach Gardens, Florida (2017). Previous registrations include Advanced Advisor Group in Willmar, Minnesota (2006-2016); Great American Advisors in Cincinnati, Ohio (2005-2006); US Bancorp Investments in Saint Paul, Minnesota (2003-2004); Safeco Investment Services in Boston, Massachusetts (2001-2003); Great American Advisors in Cincinnati, Ohio (1999-2001); and Princor Financial Services Corporation in Des Moines, Iowa (1998-1999).He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 17, 1998, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 19, 1998. He is currently not registered with any state or firm.

According to his BrokerCheck report, William Paterson has been sanctioned by FINRA, was recently discharged from his former employer, and resigned from another former employ in connection to alleged rule violations.