February 14, 2014 – David Cosgrove was interviewed by IA Watch this week for the February 17, 2014 issue of IA Week. David discussed an ongoing Cosgrove Law Group matter regarding an investment adviser representative who brought a FINRA arbitration against his former registered investment adviser (Questar Asset Management). The IAR is now suing his ex-lawyer who represented both him and the RIA in a regulatory investigation. The RIA subsequently terminated the rep. and the same lawyer defended the terminating RIA against his former client (the rep.) who brought a claim over the termination. The same lawyer also represented the same RIA’s BD (QCC) in an arbitration for another rep QAM/QCC terminated in the same incident. David and Kurt Schafers garnered that rep. an arbitration award of close to $3.5 million in Kentucky. The new case, against the lawyer and his firm, is pending in the United States Federal Court in St. Louis. Read “Rep who took on his former firm and won sets his sights on his ex-lawyer” here: February 17 issue of IA Week
