All posts tagged investment advisor representative

Industry Experts Form The Investment Adviser Rep Syndicate
Grass Roots Organization Helps Investment Adviser Representatives

PR Newswire
ST. LOUIS, March 18, 2014
ST. LOUIS, March 18, 2014 /PRNewswire/ — The Investment Adviser Rep Syndicate (The Syndicate) is a new and unique collaborative grass roots organization dedicated to the interests of investment adviser representatives. This national organization was formed to address the compliance, legal, and business development interests of Investment Adviser Representatives (IARs) and small- to mid-size Registered Investment Advisers (RIAs). The Syndicate provides financial advisers and RIAs with a member-driven platform to provide the most effective tools for its members. The Syndicate also provides education and information on regulatory compliance and business development.

“There was a missing link for Investment Adviser Representatives,” commented David B. Cosgrove when asked about why he founded this new organization. “The Investment Adviser Rep Syndicate helps IARs become even better financial advisers by providing them with the resources they need to take their business to the next level.”

The Syndicate was founded in 2013 by David B. Cosgrove, Managing Member of Cosgrove Law Group, LLC and former securities industry regulator. Based in St. Louis, MO, the Cosgrove Law Group represents various individuals and entities in the financial services industry throughout the United States. Mr. Cosgrove serves as President of The Syndicate. Other officers include: Kurt J. Schafers, Vice-President and an attorney representing investment advisers; Mary E. Hodges, Secretary; and Sheila R. Carroll, Treasurer and former securities industry regulator.

Membership fees in The Syndicate are temporarily discounted until April 1, 2014 and include:

Access to The Syndicate’s valuable online chat forum where members can chat with other members and Syndicate staff
Access to discounted legal services, if needed, through Cosgrove Law Group, LLC
E-mail updates, including relevant articles and updates for industry professionals
Special pricing for event registration
Early bird invitations to events
Access to member-only events
Referral reward (Refer 10 people who are approved for membership and your annual
membership will be at no cost)
Annual Membership = $245 Biannual Membership = $465

To apply for membership, please complete the membership application form on The Syndicate’s website. Payment is accepted via check and through PayPal. To register for a conference or for any membership or conference questions, please e-mail The Syndicate at:

Follow The Syndicate on Twitter @IARSyndicate and on Linkedln.

Read more news from The Investment Adviser Rep Syndicate.

(314) 563-2499

SOURCE Investment Adviser Rep Syndicate

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. Cosgrove Law Group garnered that rep. an arbitration award of close to $3.5 million.  Read “Rep who took on his former firm and won sets his sights on his ex-lawyer” here: February 17 issue of IA Week Online