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ANDREW C. COTÉ, LLC

302 West Main Street
Suite 201
Avon, CT 06001

100 Mill Plain Road
Danbury, CT 06811

Direct all mail to:
P.O. Box 1965
Lakeville, CT 06039

Tel: (860) 435-4721
Tel: (800) 290-4721
Fax: (860) 435-9416

Email: cotelegal@aol.com

 


SECURITIES & INSURANCE INDUSTRY DISPUTES

Andrew C. Coté, LLC has represented brokers, dealers and other investment professionals in the securities, insurance and commodities industry.  He combines eighteen years as a securities attorney with a further eight years as a Registered Investment Advisor and Senior Executive in a brokerage firm.  This has given him valuable insider knowledge of both sides of the securities industry.  Some of the areas in which he represents clients are as follows:

 

  • Contract Disputes -- Disputes between underwriters, principals, brokers and agents; conflicts between broker-dealers and dissolution of existing broker-dealers; employment contracts, termination agreements and wrongful termination.

  • Employment Contract Disputes and Litigation -- Termination agreements, non-solicitation clauses, trade secrets, customer lists and databases and other proprietary information, promissory notes, bonuses and loans.

  • Employment Discrimination -- Wrongful termination and/or retaliatory discharge cases, race, age and sex discrimination and sexual harassment.

  • Enforcement Proceedings and Investigations -- Representation of brokers, dealers and all investment professionals with regard to SEC, State, and FINRA enforcement proceedings and investigations.

  • Form U-5 Abuse and Litigation by Employers -- Representation of clients threatened by Form U-5 misrepresentation by an employer following termination of employment, including blackmail threats for return of salary and bonuses.

  • Registration Delays and Problems with state agencies, SEC and FINRA.

  • SEC Investigations into insider trading and securities fraud.

 

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 cotelegal@aol.com. We will be pleased to provide a free consultation to determine whether an engagement with our firm is appropriate for you.

 

 

 

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