BROKER OR BROKERAGE HOUSE IMPROPRIETY OR DISPUTES
Andrew Coté witnessed many of the problems and pitfalls which can be associated with the industry in the eight years he worked as a Registered Investment Advisor and Senior Executive with a stock brokerage company. He uses this experience to aggressively defend his clients or, when necessary, to settle quickly.
BROKER (Brokerage Firm, Investment Adviser or Insurance)
YOU’RE A BROKER charged by a customer or the authorities with improper or illegal activity. Your brokerage house is now saying that there is a possible conflict of interest and requests that you retain your own attorney.
YOU’RE A BROKER whose firm is denying responsibility for actively promoting a security or suspect research and claiming that you alone are responsible for customer losses.
YOU’RE A BROKER who unwittingly sold illegal or fraudulent securities to your customers.
YOU’RE A BROKER who has been terminated by your employer in violation of your statutory or contractual rights.
BROKERAGE HOUSE (Brokerage Firm, Investment Adviser or Insurance)
YOU’RE A BROKERAGE FIRM which has been charged by customers, self-regulatory bodies or government authorities for negligent supervision, alleged stock manipulation or other offenses. Customers are seeking thousands or millions of dollars in damages.
YOU’RE A BROKERAGE FIRM whose broker has embezzled hundreds of thousands or even millions of dollars of customers’ funds.
YOU’RE A BROKERAGE FIRM which finds that former brokers are improperly using your customer lists and research in their new employ.
CALL US NOW FOR A FREE CONSULTATION
Please feel free to contact us to learn more about our firm and how we can assist you with your legal matter. Call us at (800) 290-4721 or email us at firstname.lastname@example.org. We will be pleased to provide a free consultation to determine whether an engagement with our firm is appropriate for you.