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FINRA Bars Annetta Box For Alleged Refusal to Provide Information

Nov 11, 2022 Barred Broker

Annetta Box (CRD #: 6475567), a broker formerly registered with Cambridge Investment Research, has been barred by FINRA, according to her BrokerCheck record, accessed on October 22, 2022. Keep reading if you have questions about her conduct as a broker.

Bar by FINRA

On August 11, 2022, Annetta Box consented to the entry of findings that she allegedly refused to provide information and documents requested as part of a FINRA investigation into her outside business activities.

A Letter of Acceptance, Waiver & Consent (AWC) alleged that FINRA initially sent Annetta Box a request for information and documents on July 8, 2022. On July 15, Annetta Box allegedly provided a partial response to this request. She allegedly sent an email to FINRA on July 21, 2022 stating that she would not produce the rest of the requested documents and information.

The AWC concluded that this alleged refusal violated FINRA Rules 8210 and 2010.

FINRA Rules 8210 and 2010

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

Starting on August 11, 2022, Annetta Box was permanently barred by FINRA from associating with members in all capacities.

You can read a copy of the AWC here.

Other business activities

Annetta Box’s detailed BrokerCheck report currently lists two outside business activities:

  • Registered investment advisor with Cambridge Investment Research Advisors.
  • Board member of Leadership Plano, a leadership program offered in partnership with the Plano Chamber of Commerce.

Background Information

Annetta Box has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 52TO – Municipal Securities Representative Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

In the past, she worked for the following firms:

  • Cambridge Investment Research (CRD#:39543)
  • Royal Alliance Associates (CRD#:23131)
  • Securities America (CRD#:10205)
  • Perryman Securities (CRD#:116502)
  • HD Vest Investment Services (CRD#:13686)

Kurta Law Can Help

If you worked with Annetta Box and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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