COKER & PALMER, INC. of JACKSON, MS is an SEC-registered investment adviser (CRD 29163). Regulatory assets under management: $126.3M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| James David Coker | CHIEF EXECUTIVE OFFICER / CHIEF FINANCIAL OPERATIONS OFFICER / CHIEF LEGAL OFFICER / CCO/PRESIDENT | — |
| Micheal Allen Byers | PRINCIPAL | — |
| Loreli Ann Ghee | COMPLIANCE OFFICER | — |
| COKER JAMES DAVID | CHIEF EXECUTIVE OFFICER / CHIEF FINANCIAL OPERATIONS OFFICER / CHIEF LEGAL OFFICER / CCO/PRESIDENT | — |
| PALMER JAMES YOUNG | SECRETARY/TRESURER, SR. REG OPTIONS PRIN., COMPLIANCE REG OPT PRIN | — |
| BYERS MICHEAL ALLEN | PRINCIPAL | — |
| GHEE LORELI ANN | COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-06-21 | regulatory | SELLING COMMON STOCK WITHOUT BEING REGISTERED IN ILLINOIS | Final | — |
| 2018-06-13 | regulatory | FIRM EFFECTED TRADES FOR 3 ILLINOIS RESIDENTS WHILE NOT REGISTERED IN THE STATE. | Final | — |
| 2018-06-05 | regulatory | FIRM CONDUCTED TRADING WITH 3 RESIDENTS OF NEW MEXICO WITHOUT PROPER REGISTRATION. | Final | $30K |
| 2018-06-05 | regulatory | FIRM CONDUCTED TRADING WITH 3 RESIDENTS OF NEW MEXICO WITHOUT PROPER REGISTRATION | Final | $30K |
| 2016-01-15 | regulatory | AT VARIOUS TIMES FROM AUG 23, 2010 THROUGH OCT 1, 2012, THE FIRM FAILED TO MAINTAIN ELECTRONIC CORRESPONDENCE OF ASSOCIATED PERSONS AND FAILED TO ESTABLISH AND MAINTAIN AN ADEQUATE SYSTEM AND PROCEDURES FOR THE PRESERVATION, MAINTENANCE AND REVIEW OF ELECTRONIC CORRESPONDENCE OF ITS ASSOCIATED PERSO… | Final | $30K |
| City | State | Employees | Phone |
|---|---|---|---|
| COVINGTON | LA | 1 | 504-507-8047 |
| NEW ORLEANS | LA | 1 | 5045071089 |
| — | — | 1 | 601-842-7241 |
| COVINGTON | LA | 1 | 504-507-8047 |
| NEW ORLEANS | LA | 1 | 5045071089 |
| — | — | 1 | 601-842-7241 |