Joseph L. Cotter, of Wall, New Jersey, a stockbroker formerly with Next Financial Group, Inc., is subject to a pending customer dispute from June 22, 2016, in which a customer has requested $625,000.00 in damages in connection with allegations against Cotter of mismanaging the customer’s brokerage assets.
Public Disclosure records also reveal that on March 18, 2016, Cotter was terminated from Next Financial Group amid allegations that Cotter had engaged in the excessive trading in a customer’s account when considering the customer’s investment account and profile. Cotter was also previously subject to a customer dispute which was settled for $20,000.00 after the customer alleged that Cotter was responsible for the customer’s trading losses.
Guiliano Law Group
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