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 Goldman Scarlato & Penny PC 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 FINRA, 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 not that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Securities Lawyer Investigating

The Goldman Scarlato & Penny PC 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 rosca@lawgsp.com, or through the contact form on this webpage.