Hilltop’s Brad Winges & Steve Coma: $13 Million Complaint

An investor complaint against Hilltop Securities advisors Brad Winges (CRD# 1929509) and Steve Coma (CRD# 1414147) alleges eight-figure damages. Financial Industry Regulatory Authority records show that Mr. Winges is a broker in Dallas, Texas, where he is also affiliated with Momentum Independent Network. Mr. Coma, meanwhile, is a broker registered in Charlotte, North Carolina.

Mr. Winges’ and Mr. Coma’s respective BrokerCheck reports each list one investor complaint. Filed in June 2022, it alleges that they misrepresented material facts, omitted material facts, and recommended an unsuitable municipal bond offering as representatives of Hilltop Securities. The pending complaint alleges damages of $13 million.

According to the Financial Industry Regulatory Authority, Brad Winges holds 33 years of securities industry experience. Based in Dallas, Texas, he has been a broker with Momentum Independent Network and Hilltop Securities since 2019. His past registrations include Piper Jaffray & Company (Minneapolis, Minnesota; 1991-2019) and Juran & Moody (St. Paul, Minnesota; 1989-1991). His credentials include the passage of nine securities industry qualifying exams: the Financial and Operations Principal Examination, or Series 27; the General Securities Principal Examination, or Series 24; the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the Municipal Securities Principal Examination, or Series 53; the National Commodity Futures Examination, or Series 3; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 52 state licenses.

Mr. Coma, meanwhile, holds 36 years of securities industry experience, according to FINRA. Based in Charlotte, North Carolina, he has been a broker with Hilltop Securities since 2020. His past registrations include Truist Securities (Charlotte, North Carolina; 2020), BB&T Securities (Charlotte, North Carolina; 2013-2020), Scott & Stringfellow (Charlotte, North Carolina; 2005-2013), Banc of America Securities (New York, New York; 2001-2004), and Merrill Lynch (New York, New York; 1985-2001). His credentials include the passage of six securities industry qualifying exams: the Municipal Securities Principal Examination, or Series 53; the General Securities Principal Examination, or Series 24; the General Securities Representative Examination, or Series 7; the Municipal Advisor Representative Qualification Exam, or Series 50; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 53 state licenses. (Information current as of September 26, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.