(CRD #1223438, Brooklyn, New York)

October 1, 2025 – An AWC was issued in which William Coppa was fined $10,000 and suspended from association with any FINRA member in all capacities for six months. Without admitting or denying the findings, Coppa consented to the sanctions and to the entry of findings that he caused his member firm's order memoranda to show an inaccurate representative code by falsifying the representative code for trades in the firm's order entry system. The findings stated that Coppa did not maintain state securities registrations in any of the states in which he entered trades in customer accounts. When Coppa placed the trades on behalf of these customers in the firm's trade entry system, he falsely entered the representative code of another firm representative because the other representative maintained state securities registrations in each of the customers' resident states. Coppa knew that he was not permitted to serve as the registered representative for customers who resided in states in which he was not registered. Coppa received approximately $209,000 in commissions on these trades. The suspension is in effect from November 3, 2025, through May 2, 2026. (FINRA Case #2024080232801)   If you have suffered losses as a result of William Coppa's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by William Coppa. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at  (813) 226-3372 or email Matthew Schwartz directly at mschwartz@tslfirm.com.