David N. Cohen Allegedly Engaged in Unauthorized, Excessive, & Unsuitable Trading, Fraud, Breach of Fiduciary Duty, Misrepresentations & Omissions, & FINRA Rule Violations
David N. Cohen allegedly engaged in unauthorized, excessive, and unsuitable trading, fraud, breach of fiduciary duty, misrepresentations and omissions, and violation of FINRA Rules, according to a Pending Customer Dispute under review by investor rights attorney Alan Rosca.
Investor rights attorney Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to David N. Cohen’s alleged unauthorized, excessive, and unsuitable trading, fraud, breach of fiduciary duty, misrepresentations and omissions, and violation of FINRA Rules. Investors who believe they may have lost money in activity related to David N. Cohen’s alleged unauthorized, excessive, and unsuitable trading, fraud, breach of fiduciary duty, misrepresentations and omissions, and violation of FINRA Rules are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.
The aforementioned Pending Customer Dispute was filed in June 21, 2019, and is requesting Damage Amounts of $800,000.00, FINRA details.
David N. Cohen Has Worked with Citigroup Global Markets in New York State Since February of 2019; Cohen Has 36 Years in the Securities Industry with 11 Firms
David N. Cohen has 36 years in the securities industry, and the aforementioned dispute is the only case on his FINRA BrokerCheck Report, FINRA states.
Cohen has worked with Citigroup Global Markets Inc. since February 19, 2019 under the umbrella of Citi Retail Banking in Glen Head, New York, and Citi Retail Banking in Glen Cove, New York, according to Cohen’s FINRA BrokerCheck Report.
David N. Cohen is registered as both a Broker and an Investment Advisor, and has been registered at the following firms:
- Stifel, Nicolaus & Company, Inc., Melville, New York– May 14, 2015 to March 4, 2019
- Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015
- Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007
- Wachovia Securities, Inc., St. Louis, Missouri– July 14, 2000 to March 17, 2003
- Gruntal & Co., LLC, New York, New York– March 7, 1997 to July 28, 2000
- Janney Montgomery Scott Inc., Philadelphia, Pennsylvania– August 22, 1994 to March 20, 1997
- Oppenheimer & Co., Inc., New York, New York– May 1, 1991 to August 29, 1994
- Lehman Brothers Inc., New York, New York– June 1, 1989 to May 17, 1991
- Drexel Burnham Lambert Incorporated– December 21, 1983 to May 26, 1989
- David Lerner Associates, Inc.– August 25, 1982 to September 14, 1983
David N. Cohen also is registered in seven different states, FINRA reports.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.
Securities Lawyer Investigating
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating David N. Cohen’s alleged unauthorized, excessive, and unsuitable trading, fraud, breach of fiduciary duty, misrepresentations and omissions, and violation of FINRA Rules. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who believe they lost money as a result of David N. Cohen’s alleged unauthorized, excessive, and unsuitable trading, fraud, breach of fiduciary duty, misrepresentations and omissions, and violation of FINRA Rules may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.