Charles (Chuck) Arthur Cox Investigation
March 2022- Federal Way, WA
According to publicly available records Chuck Cox , a stockbroker registered with Raymond James Financial Services Advisors, Inc. discloses a prior customer dispute and a pending customer dispute.
The Financial 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 December of 2011, a customer of Raymond James Financial Services, Inc. filed FINRA case 11-04431 alleging that due to advisor’s recommendation to withdraw funds from an annuity, the annuitant’s death benefits decreased. The case was settled in the amount of $675,000.
In December of 2021, a Raymond James Financial Services, Inc. customer alleged that Cox did not adequately perform his fiduciary duties resulting in poor account performance. The customer seeks damages of $800,000 in this currently pending matter.
Cox has been employed with Raymond James Financial Services, Inc. since August of 2012. He also has been affiliated with Cox Financial located in Federal Way, WA, since July of 2014.
If you have questions about account handled by Charles Arthur Cox, contact us for a no charge consultation to learn about your legal options for recovery of losses.
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.
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