What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: September 1, 2016

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Adam Canote was accused of altering 11 documents and submitted them with applications for insurance to his employer. Canote altered the documents in order to obtain more clients. This is against securities rules and regulations. For this, Canote was fined $5,000 and suspended for three months. Canote was registered with State Farm in Booneville, Missouri from July 2014 until November 2015. He is not currently registered with any FINRA member firm and is not licensed within the industry. If you invested money with Adam Canote, please call our securities law firm in Chicago, Illinois to speak to an attorney to find out how you may be able to sue State Farm for Canote’s transgressions. The firm had a duty to supervise him, and, because it did not, may be liable for financial losses. We sue firms such as State Farm in the FINRA arbitration forum for investors on a contingency fee basis which means we don’t make money unless you recover yours. The call to us is free so please call today.

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