Former broker Gilbert Cox (also known as Gilbert W Cox) has been barred by FINRA in connection with his alleged failure to cooperate with an internal employment investigation seeking information about his outside business activities, according to FINRA’s Letter of Acceptance, Waiver and Consent (AWC), under review by attorney Alan Rosca.
Investment loss attorney Alan Rosca and his colleagues, of the Rosca Scarlato LLC law firm, are investigating conduct related to his refusal to provide information and documents during the course of the investigation, among others.
Investors who are concerned about their investments with former broker Gilbert Cox may reach out to attorney Alan Rosca for a free, no-obligation consultation and discussion of potential options, or to provide any useful information. Interested Gilbert Cox investors may call 888-998-0530, send an email to arosca@rscounsel.law or complete the contact form on this webpage.
Cox Barred by FINRA
On February 18, 2021, in connection with an investigation into the circumstances giving rise to his termination from Citizens Securities, FINRA sent a request to Cox for the production of information and documents. Cox allegedly refused to provide information and documents that were requested. Without admitting or denying the allegations, Cox signed the AWC, agreeing to being barred.
Gilbert Cox Was a Registered Broker for 3 Years
According to Cox’s FINRA Brokercheck page, Cox has been registered with FINRA since 2017. He was employed with New York Life Insurance Company in Manchester, New Hampshire between December 2016 and January 2020. Between March 2017 and January 2020, he was employed with NYLIFE Securities LLC, in the same city. In January 2020, Cox joined Citizens Securities Inc. and Citizens Bank, both in Concord, New Hampshire, and was employed until May 2020.
As reported on his IAPD report, Gilbert Cox still appears as registered as an investment advisor with Tucker Asset Management LLC in Littleton, Colorado.
On May 19, 2020, Citizens Securities submitted a Form U5 stating that Cox was discharged for failing to cooperate with an internal employment investigation seeking information about his outside business activities, according to a disclosure reported on his FINRA Brokercheck page.
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.
Concerned about investments with
Potential Options for Cox Investors
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and is currently investigating conduct related to broker Gilbert Cox’s allegations of alleged involvement in offering private securities investments not approved by his firm, among others.
The firm takes most cases of this type on a contingency fee basis and advances the case costs, and only gets paid for its fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Concerned Gilbert Cox investors may contact attorney Alan Rosca, or his colleagues for a free no-obligation case evaluation and discussion of potential options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.