Investors potentially experienced sales practice violations due to securities broker Joshua George Cox [CRD: 6137037, Centennial, Colorado], based on public information on FINRA BrokerCheck. Evidently, Cox has worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. since August 12, 2024, and previously worked for LPL Financial LLC in Greenwood Village, Colorado, from July 21, 2021, to August 13, 2024. Keep reading to learn more about Cox’s disclosures and the client dispute settlement connected to his time at LPL Financial LLC.
Specifically, a client filed a complaint about Joshua Cox. The client alleged that Cox made unsuitable recommendations. Consequently, the investor allegedly incurred damages linked to options. For this reason, on November 22, 2024, LPL Financial LLC settled this matter by paying the client $110,000.00 in damages.
Evidently, LPL Financial LLC disaffiliated with Cox on August 12, 2024. Allegedly, Cox attempted to resolve a client complaint outside of the firm’s approved methods.
Do you have concerns or questions regarding investments you made with Joshua Cox? You should contact Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer regarding recovering your investment losses. For years, Soreide Law Group has recovered losses for investors throughout the country. The firm also takes cases through a contingency fee arrangement and advances all costs. Cox and brokerage firms Cox worked for deny accusations of sales practice violations.
Soreide Law Group is investigating potential investor claims involving World Investments LLC after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and registered index-linked annuities (RILAs). Investors who suffered losses in variable annuities, RILAs, or other investments recommended through World Investments may have legal options and should learn more about FINRA's […]
Investors potentially experienced sales practice violations by securities broker Gary Bryan Frisch [CRD: 5037164, Surprise, Arizona], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frisch worked for Avantax Investment Services Inc. and Avantax Advisory Services from October 25, 2019, through September 5, 2025, and has been registered with Cetera Wealth Services […]
Investors potentially incurred losses because of securities broker Christopher Frederick Chlupp [CRD: 2950578, Wisconsin Dells, Wisconsin], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chlupp has worked for Robert W. Baird Co. Incorporated as a securities broker since June 25, 1998, and as a financial advisor since September 24, 1998. Keep reading to […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com