Austin Fox Barred by FINRA for Allegedly Failing to Respond to Requests for Information

Austin Fox (CRD #: 3053879), a broker formerly registered with Cetera Investment Services, has been barred by FINRA, according to his BrokerCheck Record accessed on July 10, 2023. If you want to know more about his alleged misconduct, keep reading.

Investor Dispute

On April 26, 2023, an investor named Austin Fox in a dispute alleging that they experienced market loss. This dispute was denied by the firm.

Investors should be aware, however, that firms don’t need to permit an outside review before denying disputes. Investors may be able to recoup their losses by pursuing FINRA arbitration.

FINRA Rule 2010

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

FINRA Bar

On October 8, 2021, Austin Fox received a Letter of Suspension alleging that he failed to respond to FINRA requests for information. This suspension converted to a permanent bar on January 11, 2022.

FINRA Rule 9552

FINRA Rule 9552 states that members who fail to provide documents, information, or testimony requested by FINRA will be suspended. Members who fail to request an end to their suspension within three months become permanently barred.

Background Information 

Austin Fox has passed the following exams: 

• Series 66 – Uniform Combined State Law Examination 
• Series 63 – Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 – General Securities Representative Examination 
• Series 6 – Investment Company Products/Variable Contracts Representative Examination 
• Series 24 – General Securities Principal Examination 

He previously worked with the following firms: 

• Cetera Investment Services (CRD#:15340)
• Corecap Investments (CRD#:37068) 
• AXA Advisors (CRD#:6627) 
• 1st Global Capital Corp. (CRD#:30349) 
• The Equitable Life Assurance Society Of The United States (CRD#:4039) 

Kurta Law Can Help  

If you have been victimized by Austin Fox as a broker, don’t hesitate to get in touch with us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.  

For nearly 20 years, Kurta Law has advocated for investors 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.