HUEL COX

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/29/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029621801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Huel Cox, Jr., Respondent Former Registered Representative CRD No. 1638341 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Huel Cox, Jr. ("Cox" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This
Reference 2011029621801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1638341

Other names1

Also known as1

HUEL COX JR.

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