JON L. COX
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jon L. Cox (CRD No. 2073950), Respondent. DISCIPLINARY PROCEEDING No. 2014040234701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between August 18, 2014 and October 30, 2014, Respondent Jon Cox failed to comply with three written requests from FINRA staff that he provide documents and information pursuant to FlNRA Rule 8210.
04/01/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JON L. COX (CRD No. 2073950), Respondent. Disciplinary Proceeding No. 2014040234701 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 1, 2015 Respondent is barred from associating with any FINRA registered firm in any capacity for failing to respond to request for information, in violation of Procedural Rule 8210 and Conduct Rule 2010. Appearances Roberta Vassallo and Lane
Reference 2014040234701data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2073950 |
Other names1
Also known as1
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