November 25,2014-Knoxville, TN
The Financial Industry Regulatory Authority (FINRA) filed a Disciplinary Complaint against Jon L. Cox, who was registered with LPL Financial from 5/2011 until he was terminated for “violation of firm policy regarding outside business activities”.
Following his termination from LPL Financial, FINRA opened an investigation into whether Cox may have engaged in unauthorized outside business activities, private securities transactions and/or unauthorized customer loans. After failing to respond to three requests to provide information, FINRA filed a complaint seeking sanctions, including a bar from the securities industry.
Cox was previously registered with J.J.B. Hilliard, W.L. Lyons from 8/1990-6/2001.
Rex Securities Law , located in Boca Raton, FL, provides representation to investors in Tennessee and nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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