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 might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com