Investors possibly experienced losses because of securities broker Randy Carter Cox [CRD: 2544998, Hudson Oaks, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cox joined OSAIC Wealth Inc. on November 3, 2023, and previously worked for FSC Securities Corporation from October 28, 1994, to November 3, 2023. Here’s an overview of Cox’s disclosures.
Particularly, on November 28, 2023, an FSC Securities Corporation client filed FINRA Arbitration No. 23-03386 about Randy Cox. Supposedly, Cox made unsuitable recommendations. Because of this, the client allegedly sustained damages on real estate securities. Therefore, the client requested $100,000 in compensation from FSC Securities Corporation or Cox. Currently, this arbitration is unresolved.
Also, a client of FSC Securities Corporation contested Randy Cox’s sales practices by filing FINRA Arbitration No. 12-03877. Allegedly, Cox made unsuitable recommendations of mutual funds, direct investments, real estate securities, oil and gas investments, and variable annuities. Therefore, FSC Securities Corporation opted to settle the matter on January 13, 2014, by compensating the client in the amount of $100,000.
Have you experienced losses due to financial advisor / securities broker Randy Cox? If you have, contact Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group investment loss lawyers help individuals throughout the United States, work on a contingency fee basis, and advance all costs. Cox and brokerage firms Cox worked for deny accusations of sales practice violations.
ADAM EDWARD BRUNIN (ADAM E BRUNIN, ADAM BRUNIN) is currently registered as an investment advisor with Navigation Wealth Management of Ft. Collins, Colorado since 4/5/2016. ADAM E BRUNIN was previously registered as a broker with Sigma Financial Corporation of Ft. Collins, Colorado from 11/08/2005 - 02/22/2016, and as an investment advisor with SPC of Ft. […]
Investors reportedly may have incurred losses because of securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Horowitz has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Read on to learn more about the disclosures concerning […]
Investors potentially experienced losses due to securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to disclosures on FINRA BrokerCheck. According to the regulator, Thistlethwaite worked for Morgan Stanley from June 1, 2009, to February 16, 2023. Here’s more about the securities broker’s disclosures. Ohio Division of Securities Charged Thistlethwaite With Violations Particularly, on […]
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