Anthony Matthew Cottone (CRD#: 4394861) is a former registered broker and investment advisor whose last employer was Landolt Securities, Inc. (CRD#:28352) of Boca Raton, FL. His previous employers include Financial West Group (CRD#:16668), Midamerica Financial Services, Inc. (CRD#: 47351, expelled by FINRA on 5/10/2016), AXA Advisors, LLC (CRD#:6627), all of Boca Raton. He has been in the industry since 2001. No current employment information is available.
Cottone is the subject of four administrative disclosures, with the latest being a FINRA action. He has no customer disputes in his record.
Although Wealthforge Securities is not listed in Cottone’s FINRA record as a former employer, on 1/12/2017, he was “discharged” by the company for failing to disclose material information on his U4.
On 9/5/2018, FINRA suspended Cottone after he failed to respond to requests for information on 09/05/2018 and again on 10/01/2018. FINRA barred Cottone, effective 12/10/2018. Since Cottone did not request a termination of that suspension, he is indefinitely barred from affiliation with a FINRA broker firm. No additional information is available on the information FINRA requested.
On 12/28/2017, The Florida Office of Financial Regulation initiated an action alleging that Cottone gave a “material misstatement” on his registration application. This action is still listed as “pending.”
Anthony Cottone’s only previous disclosure was on 02/24/2010, when he was “permitted to resign” AXA Advisors while under investigation in connection with unapproved advertising and violations of sales practices. Cottone countered that he was in the process of leaving AXA when the issue was brought up. He suspected “retaliation” by AXA’s compliance officer, and was eventually cleared by FINRA of the allegation.
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