Investors potentially experienced sales practice violations by securities broker Brian Joseph Cote [CRD: 4218494, Nashville, Tennessee], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cote worked for GPWA LLC since November 18, 2014, and Gramercy Park Wealth Advisors LLC since May 4, 2017. Keep reading to find out more about the disclosures involving this securities broker.
Notably, a GPWA LLC client filed FINRA Arbitration No. 23-03524 about Brian Cote. Mainly, the client alleged that Cote failed to supervise certain representatives in connection with the sale of an alternative investment, including activity tied to a transaction on August 4, 2015 and an account transfer on November 18, 2016. For this reason, the client allegedly sustained damages connected to real estate securities. As a result, on July 2, 2024, GPWA LLC settled this matter by paying the client $60,000 in damages.
Specifically, a client of Triad Advisors contested Brian Cote’s sales practices by filing FINRA Arbitration No. 23-03342. Allegedly, Cote made unsuitable recommendations involving an alternative investment. It appears that Cote allegedly caused the client to suffer damages pertaining to real estate securities (REITs). Therefore, Triad Advisors opted to settle the matter on February 11, 2025, by compensating the client in the amount of $35,000.
Are you concerned about investments you made through Brian Cote? You can contact Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of clients throughout the United States. Also, the firm works on a contingency fee arrangement and advances all costs. Cote and brokerage firms Cote worked for deny any allegations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker Kerrie Lynn Best [CRD: 2834846, Spring Hill, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kerrie Best worked for Raymond James Associates Inc. beginning August 9, 2006, as a securities broker and beginning August 10, 2006, as a financial advisor. Investors […]
Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures. Northwestern Mutual […]
Investors might have sustained losses due to securities broker Michael Owen Barry [CRD: 2690041, New Orleans, Louisiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Barry has been registered with Stifel Nicolaus Company in New Orleans, Louisiana, since July 7, 2015, as both a broker and financial advisor. Investors are encouraged to […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com