Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 1, 2016 indicate that California-based Independent Financial Group broker Ernest Cox has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cox (CRD# 4326252).
Ernest Cox has spent fifteen years in the securities industry and has been registered with Independent Financial Group in La Quinta, California since April 2016. Previous registrations include Fortune Financial Services in La Quinta, California; NFP Advisor Services in La Quinta, California; Commonwealth Financial Network in La Quinta, California; and Merrill Lynch in New York, New York. He is a registered broker with six US states and territories: California, Maryland, Massachusetts, Minnesota, North Carolina, and Rhode Island. He has passed two securities industries examinations: Series 7 (General Securities Representative Examination) and Series 66 (Uniform Combined State Law Examination).
According to his BrokerCheck report, Ernest Cox has received two customer complaints.
In July 2016 a customer alleged Ernest Cox, while employed at Commonwealth Financial Network, participated in unsuitable trading. The complaint settled in September 2016 for $75,000.
In July 2016 a customer alleged Ernest Cox, while employed at Commonwealth Financial Network, took unsuitable risk in her account. The customer sought $90,000 in damages in the complaint, which was denied.
In 2015 a customer alleged Ernest Cox, while employed at Commonwealth Financial Network, “wrote naked put options in her account.”
If you or someone you know has complaints regarding Ernest Cox, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.