Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Cote (Cote), currently associated with Gpwa, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cote recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on December 19, 2023.
The Claimant alleges that the financial professional failed to adequately supervise the sale of an alternative investment by a representative under his direct supervision. The product sale took place on 8/4/2015 and the account was transferred on 11/18/2016.