FINRA barred longtime DA Davidson & Co broker Kathleen Marie Bott, who served as the firm's Assistant Vice President and Branch Administrative Manager at D.A. Davidson's Spokane, Washington branch, after Bott failed to cooperate with an investigation into allegations of theft.
According to AWC #2020065552601, FINRA initiated an investigation into Kathy Bott (CRD #2185075) after DA Davidson reported in February 2020 that she resigned after the firm learned she was facing charges of theft. The cold turkey resignation terminated a 20-year relationship with the firm dating back to Bott's initial DA Davidson registration in April of 1999.
FINRA sent Bott multiple requests for certain bank account statements relative to the its investigation, but Bott reportedly failed to cooperate with investigators, formally informing Enforcement in August 2020 that she would not produce the requested bank account documents nor any other information in connection with FINRA's investigation.
Bott, who carried registrations as both a broker and investment adviser with DA Davidson, previously served as a broker for WM Funds Distributor and WM Financial Services in the 1990s, at WM's Southern California locations.If you have invested with Kathleen Bott or with any broker or financial adviser who has allegedly stolen, misappropriated, or converted funds without permission or authorization, resulting in losses or other damages to your interests, please call an experienced FINRA arbitration attorney at The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.