Kathleen Bott, formerly with D.A. Davidson & Co., Barred by FINRA
Have you lost money with financial advisor Kathleen Bott? We are looking into allegations made about Kathleen Bott from Spokane, Washington. FINRA (the Financial Industry Regulatory Authority) barred Bott from the securities industry. FINRA alleged that Bott has failed to respond to its investigation regarding allegations that she was facing theft charges.
Kathleen Bott was a financial advisor and registered representative of D.A. Davidson & Co. from 1999 to February 2020. She worked in a branch office in Spokane, Washington.
Brokerage firms like D.A. Davidson & Co. have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Seattle, Washington; Denver, Colorado; Ann Arbor, Michigan; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout eastern and central Washington. Our attorneys have represented over one thousand investors against many brokerage firms in the past.