Investor Alleges Christopher Cox Failed to Protect Her Against Fraud

Christopher Cox (CRD #: 5802626), a broker registered with Ameriprise Financial Services, has been the subject of an investor dispute, according to his BrokerCheck record, accessed on November 19, 2024. Read on if you have questions about his alleged conduct as a broker.

Investor Dispute

On October 1, 2024, an investor alleged that Christopher Cox failed to protect her account from a fraud scheme in July 2024, which resulted in the loss of $200,000. The client sought $175,000 in damages but the firm denied the dispute.

However, investors should be aware that firms can deny disputes without an external review. Investors can still recover damages following a denial 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.

Background Information

Christopher Cox has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination

Christopher Cox is a registered broker in 13 states and the District of Columbia. He is also a registered investment adviser in Texas and Virginia.

He has also worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691).

Kurta Law Can Help

If you worked with Christopher Cox 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 that 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.