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



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.



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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