FINRA Sanctions Corrie Box

Soreide Law Group is investigating possible investor claims against securities broker Corrie Box (also known as Corrie Ann Mitchell) [CRD: 7221410, San Antonio, 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 potential FINRA rule infractions. Here is a brief summary of FINRA’s allegations against Corrie Box.

FINRA Sanctions Corrie Box For Failure To Provide Information

Evidently, on August 17, 2022, FINRA issued Case: 2022075235602, sanctioning Corrie Box for infractions. Specifically, Corrie Box was barred, so she cannot work as a broker and in other capacities for FINRA-member firms. Notably, FINRA alleged that Box failed to give it information and documents when it investigated potential FINRA rule infractions. The regulator’s rules call for brokers to cooperate in investigations or else face punishment including a potential bar as securities broker. Supposedly, FINRA wanted information about her potential outside business activities.

Box Employment Information

• Box worked for Cambridge Investment Research Inc. in San Antonio, TX, as a securities broker from August of 2020 to February of 2022.
• Box worked for Royal Alliance Associates Inc. in Dallas, TX, as a securities broker from July of 2020 to September of 2020.
  
  

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

Did you incur damages through investing with Corrie Box? Reach out to Soreide Law Group at (888) 760-6552 and speak with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances all costs. The firm will take the time to fully understand your situation and will carefully explain your legal options. Box and brokerage firms Box worked for deny any and all allegations of sales practice violations.