Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Michigan-based Raymond James & Associates broker/adviser Donald Cox is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cox (CRD# 716663).
Donald Cox has spent 38 years in the securities industry and has been registered with Raymond James & Associates in Wyandotte, Michigan and Naples, Florida since 2004. Previous registrations include JJB Hilliard WL Lyons in Louisville, Kentucky (1997-2004) and First of Michigan Corporation in Detroit, Michigan (1980-1997). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 6, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 23, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 15 (Foreign Currency Options Examination), which he obtained on May 18, 1984; Series 7 (General Securities Representative Examination), which he obtained on August 16, 1980; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on January 27, 1986. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Colorado, Florida, Iowa, Michigan, the US Virgin Islands, and Washington. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one pending customer complaint and one regulatory sanction.
In October 2018 a customer alleged Donald Cox, while employed at Raymond James & Associates, breached his fiduciary duty, breached contract, engaged in forgery, committed fraud, participated in professional malpractice, and converted funds between April 2011 and November 2015. The customer is seeking $2,000,000 in damages in the pending complaint.
In 2014 the Florida Office of Financial Regulation sanctioned him in connection to allegations he conducted investment advisory business from Florida offices without being lawfully registered. He was issued a fine of $10,000.
If you have lost money investing with Donald Cox, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.