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Jessica Cottee Allegedly Failed to Respond to FINRA Requests for Information

Jessica Cottee (CRD #: 6923343) has been suspended by FINRA. This is according to her BrokerCheck record, accessed on August 2, 2024. Keep reading if you have questions regarding her alleged conduct. 

Regulatory Action 

On May 17, 2024, FINRA alleged that Jessica Cottee failed to respond to FINRA requests for information. This suspension will continue until information is provided or the suspension will convert to a bar. 

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 8210 also violate this rule. 

Background Information 

Jessica Cottee has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • Series 7TO General Securities Representative Examination 
  • SIE – Securities Industry Essentials Examination 

During her five years of experience, she has registered with two firms: Valic Financial Advisors (CRD #: 42803) and Park Avenue Securities (CRD #: 46173). 

Kurta Law Can Help 

If you have worked with Jessica Cottee and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com 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.

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