Robert Cowin Allegedly Sold Positions that Resulted in Capital Gains Taxes

Robert Cowin (CRD #: 4613859), a broker registered with Osaic Wealth, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on February 2, 2024. Keep reading if you have questions regarding his alleged conduct. 

On October 17, 2023, an investor alleged that Robert Cowin failed to follow his client’s instructions and sold positions that resulted in capital gains taxes. 

The dispute was denied, but investors should know that firms can deny disputes without an external review. Investors may be able to recover their losses after a denial by pursuing FINRA arbitration. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions may violate this rule. 

Background Information 

Robert Cowin has passed the following exams:

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 12 states and is a registered investment adviser in Minnesota and Texas. 

During his 21 years of experience, he has registered with eight firms: 

• Osaic Wealth (CRD #: 23131) 
• Woodbury Financial Services (CRD #: 421) 
• Questar Capital Management (CRD #: 133358) 
• Questar Capital Corporation (CRD #: 43100) 
• Pruco Securities (CRD #: 5685) 
• Jefferson Pilot Securities Corp. (CRD #: 3870) 
• Terra Securities (CRD #: 10358) 
• Capital Brokerage Corporation (CRD #: 10465) 

Kurta Law Can Help 

If you have worked with Robert Cowin and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.