Tony Cross Facing Allegations of Unethical Practices
Tony Cross (CRD #: 3155726), a broker registered with Vanderbilt Securities, is the subject of a regulatory action, according to his BrokerCheck record, accessed on September 13, 2021. Investors may have used his services through Strategic Wealth Concepts.
On July 21, 2021, the Oklahoma Department of Securities alleged that Tony Cross engaged in unethical practices. He allegedly improperly exercised time and price discretion without authorization. Oklahoma suspended him for 10 days.
There is a related disclosure on his record. On June 24, 2020, O.N. Equity Sales Company fired Tony Cross following allegations that he entered discretionary trades in violation of firm policies.
On January 25, 2012, the Oklahoma Department of Securities alleged Tony Cross recommended unsuitable transactions. The State ordered restitution sanctions of $4,900.
Tony Cross Background Information
Tony Cross has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products/ Variable Contracts Representative Examination
He is a registered broker in seven states and is a registered investment adviser in Arizona and Oklahoma.
Tony Cross has worked with the following firms:
- Vanderbilt Securities (CRD #: 5953)
- Vanderbilt Advisory Service (CRD #: 116537)
- ON Investment Management (CRD #: 105662)
- The O.N. Equity Sales Company (CRD #: 2963)
- Walnut Street Securities (CRD #: 15840)
Kurta Law Can Help
If you worked with Tony Cross and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email firstname.lastname@example.org.