Brian Cohen: Ceros Advisor Faces $355K Complaint

A recent investor complaint against Rockville, Maryland financial advisor Brian Cohen (CRD# 4482183) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Ceros Financial Services and an investment advisor with ATCAP Partners, having previously been registered with National Securities Corporation.

Mr. Cohen’s BrokerCheck report discloses one investor complaint. Filed in October 2026, it alleges that as a representative of National Securities, he made unsuitable investment recommendations, executed unauthorized trading, and engaged in excessive trading and/or churning. The pending complaint alleges damages of $355,000.

In 2020 FINRA released an investor resource that defined excessive trading as “the situation where a broker makes a large number of trades in a customer’s account not to benefit the customer but to generate commissions for the broker.” In more severe cases, known as churning, a broker makes excessive transactions in the client’s account “with either an intent to defraud or with reckless disregard for the customer’s interests.” Additional information on potential red flags indicating excessive trading can be found via FINRA. To catch signs of such conduct, the regulator advises investors to review their account documents for any discrepancies between the information recorded and the information provided to the broker; to monitor trade confirmations and account statements, and contact their broker regarding any potential unauthorized transactions, high-volume activity, or excessive fees or commissions; and to carefully question their representatives about any potential excessive trading.

According to the Financial Industry Regulatory Authority, Brian Cohen holds 24 years of securities industry experience. Based in Rockville, Maryland, he has been registered as a broker with Ceros Financial Services and an investment advisor with ATCAP Partners since 2024. His past registrations include B. Riley Wealth Management, B. Riley Wealth Advisors, National Securities, Quest Capital Strategies, and Ladenburg Capital Management. His credentials include the passage of six securities industry qualifying exams: the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 28 state licenses. (Information current as of November 9, 2026.)

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