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Cary Cowan Facing an Investor Dispute

Cary Cowan (CRD #: 601492), a broker registered with Cadaret, Grant & Co., is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on January 5, 2023. Investors who have concerns should keep reading. 

On October 30, 2023, an investor alleged that they experienced an unexpected reduction of a guaranteed benefit payment as a result of excess annual withdrawals that were not identified by a financial professional. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to identify excess withdrawals may violate this rule. 

Background Information 

Cary Cowan has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 82TO Limited Representative Private Securities Offerings 
  • Series 7TO General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination 
  • Series 1 Registered Representative Examination 
  • Series 51 Municipal Fund Securities Principal Examination
  • Series 24 General Securities Principal Examination 

He is a registered broker in 26 states and is a registered investment adviser in Florida and Texas. 

During his 50 years of experience, he has registered with ten firms: 

  • Cadaret, Grant & Co. (CRD #: 10641) 
  • Arch Global Advisors (CRD #: 297397) 
  • Next Financial Group (CRD #: 46214) 
  • Walnut Street Securities (CRD #: 15840) 
  • IFG Network Securities (CRD #: 19948) 
  • Comprehensive Financial Services (CRD #: 22710) 
  • W.S. Griffith & Co. (CRD #: 10410)
  • Home Life Insurance Company (CRD #: 4184) 
  • Massachusetts Mutual Life Insurance Company (CRD #: 2682) 
  • The Equitable Life Assurance Society of the United States (CRD #: 4039) 

Kurta Law Can Help 

If you have worked with Cary Cowan and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.