Public records published by the Financial Industry Regulatory Authority on July 6, 2016 indicate that Louisiana-based Stifel Nicolaus broker/adviser James Cox has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Cox (CRD# 2365633).
James Cox has spent 22 years in the securities industry and has been registered with Stifel Nicolaus & Company in Baton Rouge and New Orleans, Louisiana since July 2015. Previous registrations include Sterne Agee & Leach in Baton Rouge, Louisiana; Stanford Group Company in Baton Rouge, Louisiana; Securities America in Baton Rouge, Louisiana; and FSC Securities Corporation in Atlanta, Georgia. He is a registered broker and investment adviser with 19 US states and territories.
According to his BrokerCheck report, James Cox has received one customer complaint and two pending customer complaints.
In 2014, a customer alleged James Cox, while employed at Sterne Agee & Leach, misled her. The customer is seeking unspecified damages in the pending complaint.
In 2014, a customer alleged James Cox, while employed at Stanford Group Company, failed to monitor his account and invested in unsuitable products. The customer is seeking unspecified damages in the pending complaint.
In 2012, a customer alleged James Cox, while employed at Securities America, recommended unsuitable investments, misrepresented material facts, breached his fiduciary duty, and breached contract. The complaint settled in 2014 for $25,000.
In 2012, the Internal Revenue Service filed a tax lien totaling $79,364 against James Cox. The lien remains outstanding.
In 2009, a customer alleged James Cox, while employed at Stanford Group Company, breached his fiduciary duty and made negligent misrepresentations. The customer is seeking unspecified damages in the pending complaint.
If you have complaints regarding James Cox, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.