Fox & Company Investments Inc.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/15/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A2005004302 TO: Department of Enforcement NASD RE: Fox & Company Investments Inc. Respondent Broker-Dealer CRD No, 18517 Pursuant to Rule 9216 of NASD Code of Procedure, Fox & Company Investments Inc. (Respondent" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference E3A2005004302data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/28/2005: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel.No. 52697/October 28, 2005 Admin. Proc. File No. 3-11873 In the Matter of the Application of FOX & COMPANY INVESTMENTS, INC., and JAMES W. MOLDERMAKER c/o Anthony W. Djinis, Esq. Pickard and Djinis LLP 1990 M Street, N.W., Suite 660 Washington, D.C. 20036 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION
02/24/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Fox & Company Investments, Inc., Phoenix, AZ And James W. Moldermaker Scottsdale, AZ, Respondents. Respondents operated a securities business without sufficient net capital, maintained materially inaccurate books and records, filed inaccurate FOCUS reports, and failed to report certain required information to NASD. Held, Hearing
Reference C3A030017data-portal.finra.org finra.org data-portal.finra.org

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