Andrew C Cote, Attorney

Andrew C. Cote, LLC is a boutique law firm with its main office in Avon, Connecticut and a satellite office in Lakeville. We represent clients in the fields of securities arbitration, mediation and litigation, business formation and reorganization including mergers and acquisitions, and Initial Public Offerings and Private Placements. Andrew Cote's experience may be unique combining eighteen years as a securities, corporate and business attorney with a further nine years as a Registered Investment Adviser and Senior Executive in a brokerage firm. He has an invaluable insider knowledge of the securities industry -- experience not offered by most attorneys. He is also a FINRA arbitrator (previously NASD).

Securities

We have a proven record in the area of securities and investment fraud. Andrew C. Cote, LLC has brought actions against some of the largest broker-dealers and insurance companies in the country and recovered millions of dollars for its clients. Our clients include businesses, executives, investors and too often senior citizens. Each party is horrified when confronted with large losses and unfortunately few are aware that there may be legal recourse and possible recovery of, part, or all, of their losses. Some prohibited actions by a broker, wealth manager or financial adviser, are embezzlement, fraudulent investments including Ponzi schemes, excessively high risk recommendations based on a client's circumstances, and unwarranted buying and selling of stocks, annuities or insurance policies to generate high commissions.

Andrew C. Cote, LLC also successfully represents brokers-dealers, registered representatives and other investment professionals in the securities, insurance and commodities industry with regard to intra-industry disputes, investor complaints and regulatory enforcement.

Business Formation, Mediation, Mergers and Acquisitions

For eighteen years we have worked with closely with small and medium sized businesses to assist them with their business goals and to help them select the business entity that is most appropriate to them. Laws and businesses constantly evolve and it may become time to make changes including incorporating, raising capital, taking on a new partner, assisting with mediation or resolving family business succession conflicts.

Private Placement and Initial Public Offering

Andrew C. Cote acts as a securities counselor and compliance consultant for both smaller companies seeking capital to expand through private placement and larger private-owned companies in becoming publicly traded.