Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Cowan (Cowan), previously associated with Robert W. Baird & CO. Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Cowan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 31, 2020.
The [REDACTED] each allege unauthorized trading, failure to follow instructions, overconcentration, and unsuitable recommendations.