An investor complaint against Hilltop Securities advisors Brad Winges (CRD# 1929509) and Steve Coma (CRD# 1414147) alleges eight-figure damages. Financial...Read More
Chuck Cox: $800,000 Complaint Against Raymond James Rep
Raymond James Financial Services stockbroker Chuck Cox (CRD# 2283909) has received an investor dispute alleging his actions resulted in six-figure damages. Financial Industry Regulatory Authority records show that the Federal Way, Washington-based representative has also received an investor dispute that reached a six-figure settlement.
Mr. Cox’s BrokerCheck report discloses a pending investor complaint filed in December 2021. It alleges that as a representative of Raymond James Financial Services, he failed to perform his fiduciary duties, “resulting in poor performance” in the customer’s mutual fund investments. The pending complaint alleges damages of $800,000.
The pending December 2021 complaint is not the only one filed against Mr. Cox. His BrokerCheck report also describes a complaint filed in 2011 alleging that as a representative of Raymond James Financial Services, his recommendation to withdraw funds from a variable annuity resulted in a decrease in the annuitant’s death benefits. In 2013 the complaint reached a settlement of $675,000.
According to the Financial Industry Regulatory Authority, Chuck Cox holds 29 years of securities industry experience. He is presently registered as a stockbroker and investment adviser with Raymond James Financial Services in Federal Way, Washington. His past registrations include BrokersXpress (Burien, Washington; 2010-2012), Raymond James Financial Services (Seattle, Washington; 1999-2010), Linsco/Private Ledger Corporation (1995-1999), Marketing One Securities (Portland, Oregon; 1994-1995), and Aegon USA Securities (Cedar Rapids, Iowa; 1992-1994). His credentials include the passage of seven securities industry qualifying examinations: the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Municipal Fund Securities Principal Examination, or Series 51; and the General Securities Principal Examination, or Series 24. He holds 17 state licenses. (Information current as of March 10, 2022.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.