Investor Alert > Donald Marshall Cox— Alleged Breach of Contract, Breach of Fiduciary Duty, Forgery, & Fraud
Posted Nov 19, 2018
by Alan Rosca

Donald Marshall Cox— Alleged Breach of Contract, Breach of Fiduciary Duty, Forgery, & Fraud

Donald Cox Allegedly Engaged in Breach of Contract, Breach of Fiduciary Duty, Forgery, Fraud, Constructive Fraud, & Professional Malpractice

Donald Marshall Cox allegedly engaged in breach of contract, breach of fiduciary duty, forgery, fraud, constructive fraud, professional malpractice, conversion, and aiding and abetting, according to FINRA Reports under review by investor rights attorney Alan Rosca.

Said complaint was filed on November 1, 2018, is requesting damages of $2,000,000, and alleges that the aforementioned activity occurred between April 2011 to November 2015, FINRA notes.

Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Donald Cox’s alleged breach of contract, breach of fiduciary duty, forgery, fraud. Investors who believe they may have lost money in activity related to Donald Cox’s alleged breach of contract, breach of fiduciary duty, forgery, fraud are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Cox was also the subject of a regulatory action initiated by the Florida Office of Financial Regulation filed on December 8, 2014, FINRA notes.

Said action alleges that Cox conducted investment advisory business from offices within Florida without the benefit of lawful registration, FINRA notes.

Donald Cox was ordered to cease and desist and fined $10,000 by Florida Office Of Financial Regulation, FINRA states.

Donald Cox Has Worked in the Securities Industry for 38 Years with 3 Firms, and Has 2 Disclosures

Donald Cox has worked in the securities industry for 38 years in the securities industry with 3 different firms, according to Cox’s FINRA BrokerCheck Report.

Cox was registered with Raymond James & Associates, Inc. in Naples, Florida from October 22, 2004 until the present, FINRA states.

Cox was also registered with J.J.B. Hilliard, W.L. Lyons, Inc. in Louisville, KY from November 12, 1997 until November 3, 2004 and with First of Michigan Corporation in Detroit, Michigan from August 20, 1980 until November 17, 1997, FINRA states.

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Donald Cox’s alleged breach of contract, breach of fiduciary duty, forgery, fraud. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Donald Cox’s alleged breach of contract, breach of fiduciary duty, forgery, fraud may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

Contact us. All evaluations are free

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

Contact us at 888‑998‑0530 or through the contact form on this page.
No recovery, no fees.*

How to contact us?

We can also do a Zoom call to discuss your matter.