FINRA Sanctions Ann Box

Soreide Law Group is investigating possible investor claims against securities broker Ann Box AKA Annetta Marie Box Taylor and Annetta Marie Taylor [CRD#: 1662151, Dallas, TX]. Evidently, FINRA sanctioned the securities broker, who worked for Cambridge Investment Research Inc. Allegedly, Box failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary FINRA’s allegations against Box.

Ann Box Sanctioned By FINRA For Failure To Provide Information

Also, FINRA issued Case #: 2021070501001 on June 7, 2022 sanctioning Ann Box for infractions. Allegedly, Box failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Therefore, on June 7, 2022, FINRA barred the securities broker.

Supposedly, on February 16, 2022, Cambridge Investment Research Inc. filed a Uniform Termination Notice for Securities Regulation (Form U5) with FINRA terminating Box’s association with the firm due to allegations that she engaged in outside business activity. FINRA then began an investigation into Box on March 29, 2022, when she was sent a request by FINRA for the production of documents and information. Box failed to respond to that request, so FINRA sent a second request on April 13, 2022. On April 12, 2022, and May 23, 2022, Box indicated in phone calls to FINRA staff that she received the requests but would not produce the documents or information. As a result, Box violated FINRA Rules 2010 and 8210.

Securities America Investor Accuses Box Of Unsuitable Trading

Evidently, on October 2, 2018, a Securities America client filed a complaint about Ann Box. Notably, the client alleged that Box made unsuitable transactions. Because of this, the client sustained damages on variable annuities and municipal bonds. Therefore, the client requested $35,000 in compensation from Securities America or Box. Evidently, this complaint is pending a resolution.

Recent Employer Information

Ann Box worked for Cambridge Investment Research in Dallas, TX, as a securities broker from August 31, 2020 to February 16, 2022. Evidently, Cambridge Investment Research disaffiliated with Box based upon allegations of misappropriation.

Did Cambridge Investment Research Inc. Securities Broker Ann Box Cause You To Experience Damages?

Have you suffered damages by investing with Ann Box? If so, contact Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has effectively recovered money for investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Box and brokerage firms Box was employed by deny any and all allegations of sales practice violations.