Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
Texas State Securities Board sanctioned securities broker Logan D. Cox [CRD: 6927720, Overland Park, Kansas], and investors complained about him, given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Logan Cox worked for Arete Wealth Management LLC and Arete Wealth Advisors LLC from June 30, 2020, to May 1, 2025, before joining Cabin Securities Inc. on April 2, 2025, and Cabin Advisors LLC on January 8, 2026. Keep reading to learn more about the disclosures involving this securities broker.
Evidently, on January 8, 2026, the Texas State Securities Board issued Case: REG-26-CAF-01 sanctioning Logan Cox for infractions. Notably, the regulator alleged that Cox violated Regulation Best Interest by failing to properly evaluate costs when recommending investments.
According to the findings, Cox recommended that at least two clients purchase an alternative investment financed through securities-based lines of credit with interest rates exceeding seven percent. The regulator stated that these recommendations did not adequately consider the risks, including interest expenses, ongoing management fees, and commissions tied to the transactions.
The regulator explained that the clients incurred significant borrowing costs while investing in illiquid products that did not generate income. Additionally, Cox allegedly did not document key details in required compliance forms, such as how the investments were funded or the associated fees. As a result, the regulator concluded that Cox did not meet the care obligation required under Regulation Best Interest.
Additionally, on April 1, 2025, Arete Wealth Management LLC disaffiliated with Cox. Specifically, the firm alleged that Cox falsified a client’s net worth, encouraged a client to obtain a line of credit to invest in securities, and misrepresented details regarding a client’s line of credit. The firm also indicated that Cox resigned shortly before a scheduled compliance interview while these matters were under investigation.
Particularly, an Arete Wealth Management LLC client filed FINRA Arbitration No. 23-03390 about Logan Cox. Mainly, the client alleged that Cox recommended unsuitable strategies involving over-the-counter equities and alternative investments. Because of this, the client allegedly sustained damages. Consequently, on March 20, 2025, Arete Wealth Management LLC settled this matter by paying the client $850,000 in damages.
Did you experience losses because of Logan Cox? Get in touch with Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Cox and brokerage firms Cox worked for deny any allegations of sales practice violations.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
A customer dispute that settled for $80,000 on July 16, 2026 is the newest entry on the BrokerCheck report of Stephen Kerutis (CRD 2345517). The clients in that matter alleged unsuitable recommendations, and Truist Investment Services is the firm on the disclosure.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
Phone:
Fax: 1-954-760-6553
Email: [email protected]