GILBERT W COX

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/19/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066700601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gilbert W. Cox (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2973703 Pursuant to FINRA Rule 9216, Respondent Gilbert W. Cox submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020066700601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2973703

Other names1

Also known as1

Gilbert W. Cox

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