June 2020- Wyandotte, MI
The FINRA records of Donald Marshall Cox, a broker employed by Raymond James & Associates, Inc. , disclose a regulatory event and a customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 12/ 2014, Florida Office of Financial Regulation filed case #55706-SR alleging Cox conducted investment advisory business from offices within this state without the benefit of lawful registration in violation with Florida Statutes. Cox was sanctioned to cease and desist and he was fined $10,000.
In October 2018, a Raymond James & Associates, Inc. customer was paid $165,000 to resolve allegations of breach of contract, breach of fiduciary duty, forgery, fraud, constructive fraud, professional malpractice, conversion and aiding and abetting.
Cox has been employed with Raymond James & Associates since October of 2004.
If you have questions about an account handled by Donald Marshall Cox call for a no charge consultation .
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors 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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