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.)

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