CONCORD, NEW HAMPSHIRE
Have you lost money with financial advisor Gilbert Cox of Concord, New Hampshire? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority. FINRA barred Gilbert Cox after he failed to respond to an investigation. FINRA was investigating Cox regarding his alleged involvement in outside business activities.
Gilbert Cox was a financial advisor and registered representative of Citizens Securities from January 2020 to May 2020. He was also affiliated with NYLife Securities from March 2017 to January 2020. He is now with Tucker Asset Management. He worked at branch offices in Concord and Manchester, New Hampshire.
Brokerage firms like Citizens Securities 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. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout New Hampshire. Our attorneys have represented over one thousand investors against many brokerage firms in the past.