Barred Broker Anthony Cottone The Subject Of Four Disclosures

Anthony Cottone (CRD#: 4394861) is a permanently-barred broker and is the subject of four disclosures on his FINRA BrokerCheck report, which includes two employment separations after allegations and two regulatory disclosures. From 2002-2017, Anthony Cottone worked for 10 different firms in New Jersey, New York, and Florida, including Landolt Securities, Financial West Group, and Midamerica Financial Services. Cottone’s first disclosure came in 2010. While working at an AXA Advisors, LLC branch in Boca Raton, Florida, Cottone was permitted to resign “while under investigation in connection with unapproved advertising and sales practice violations.” In January 2017, Cottone was discharged from WealthForge Securities for not disclosing material information on his U4, which is the Uniform Application for Securities Industry Registration or Transfer that registered representatives of broker-dealers and investment advisers must use to become registered. A December…

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