10.0David P Neuman
(720) 599-3505

WARNING! Impending Investigation–JON L. COX and LPL FINANCIAL


WARNING! Impending Investigation–JON L. COX and LPL FINANCIAL

Posted by admin | 0 Comment

Jon L. Cox and LPL Financial

Have you lost money with financial advisor Jon L. Cox of Knoxville, Tennessee?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jon “Larry” Cox.  Cox was barred from the securities investigation after he failed to respond to a FINRA investigation.  FINRA was investigating Cox for allegations that he sold private securities offerings, engaged in outside business activities, and borrowed money from customers without approval from his brokerage firm, LPL Financial.

Jon L. Cox was a financial advisor and registered representative of LPL Financial from 2001 to January 2014.  He worked at a LPL branch office in Knoxville, Tennessee.  He was fired from LPL in January 2014.  Cox has two customer complaints on his record, and a 2011 judgment against him of $95,000.

Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies, such as refraining from selling investments and securities that are not approved by the firm.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Our attorneys have represented over one thousand investors who have been defrauded by their financial advisor or stockbroker.  While we have offices in Denver and the Seattle area, we have also previously represented clients throughout Tennessee.  If you have lost money with Jon “Larry” Cox or LPL Financial and want to hear about ALL legal options, please visit https://www.israelsneuman.com and go to our CONTACT page or call us at 720-599-3505.

Click to view:  Cox FINRA AWC

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman


DENVER: (720) 599-3505

SEATTLE: (206) 795-5798

Copyright © 2020 Israels Neuman, PLC. All Rights Reserved | Sitemap