Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 13, 2017 indicate that former Georgia-based SunTrust Investment Services broker/adviser Ryan Cox has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cox (CRD# 3018153).
Ryan Cox has spent eighteen years in the securities industry and was most recently registered with SunTrust Investment Services in Columbus, Georgia (2015-2017). Previous registrations include Synovus Securities in Columbus, Georgia and SunTrust Securities in Atlanta, Georgia. He has passed three securities industry examinations: Series 7 (General Securities Representative Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 66 (Uniform Combined State Law Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, Ryan Cox has been sanctioned by FINRA and resigned from two former employers.
In January 2017 Ryan Cox was “permitted to resign” from his position at SunTrust Investment Services following a FINRA enforcement action against him.
In December 2016 FINRA sanctioned Ryan Cox following allegations that “he and his wife accepted cash gifts from customers at his member firm, in violation of the firm’s policies prohibiting the acceptance of such cash gifts.” According to FINRA’s findings: “the firm required its registered representatives to complete quarterly questionnaires to confirm compliance with firm policies and procedures. Despite having received cash gifts on four occasions, Cox falsely stated on three quarterly questionnaires that he had not received cash gifts from any firm customers.” He was issued a 15-month suspension from the securities industry.
In 2015 Ryan Cox was “permitted to resign” from his position at Synovus Securities following allegations his “spouse received cash payments from an unrelated client” and he “knowingly allowed the naming of [his] spouse as a beneficiary of the same client’s variable annuity policy without disclosure to firm.”
If you or someone you know has complaints regarding Ryan Cox, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: 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.