Annetta Marie Box Investigation
August 2022- Dallas, TX
The FINRA records of Annetta Marie Box , a former broker with Cambridge Investment Research Advisors, disclose a recent bar from the securities industry.
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.
FINRA sent a request to Box in July 2022, seeking information and documents related to her outside business activities. According to FINRA, Box only partially responded and refused to further cooperate with the regulatory investigation.
A failure to provide information requested by FINRA pursuant to Rule 8210 violates Rule 8210. Conduct that violates FINRA Rule 8210 also violates FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principals of trade.” Box consented to a bar from associating with any FINRA member in all capacities.
Annetta Box was employed by Cambridge Investment Research Advisors from 8.2020-10/2021. Prior to that she was registered with several other broker dealers in the Dallas/ Plano area, including, Royal Alliance Associates, Securities America, Perryman Securities and HD Vest. Her FINRA records indicate she is currently affiliated with Adaption Financial Advisors in Plano and CIRA as an advisory rep.
If you have losses in an account handled by Annetta Marie Box, contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
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, at no cost to you.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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