TONY NATHAN COTA

04/12/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. TONY NATHAN COTA (CRD No. 4147725), RESPONDENT. DISCIPLINARY PROCEEDING NO. 20060043565-01 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In February 2002, Respondent Tony Nathan Cota entered into a personal loan agreement with his customer, CR, borrowing $67,039.36. He entered into a repayment schedule of monthly payments of $2,500. CR was a 53 year old school teacher at the time of the February 2002 loan. In 2003,

09/10/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICIERS DEPARTMENT OF ENFORCEMENT Complainant, v. TONY NATHAN COTA (CRD No. 4147725) Respondent. Disciplinary Proceeding No. 20060043565-01 Hearing Officer - AWH DEFAULT DECISION September 10, 2007 Formerly registered representative barred from association with any member firm in any capacity for (1) accepting a personal loan from a customer, in violation of NASD Conduct Rules 2370 and 2110; (2) misusing funds belonging to that customer, in

Reference 2006004356501data-portal.finra.orgdata-portal.finra.orgfinra.org