Gilbert Cox, Formerly of NYLife Securities, Barred by FINRA After Refusing to Requested Information

FINRA was investigating Cox’s termination due to alleged participation in outside business activities.

Gilbert Cox (CRD: 2973703) was registered as a broker with Citizen Securities from January 2020 until May 2020. Previously, Cox was registered with NYLife Securities from March 2017 until February 2020.

Cox has one disclosure on his BrokerCheck report.

April 2021 Regulatory Judgment

• Status: Final
• Initiated By: FINRA
• Allegations: Without admitting or denying the findings, Cox consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with an investigation into the circumstances giving rise to his termination from his member firm. The findings stated that the firm submitted a Form U5 stating that Cox was discharged for failing to cooperate with an internal employment investigation seeking information about his OBAs.
• Resolution: Acceptance, Waiver & Consent (AWC)
• Sanctions: Bar
• Registration Capacities Affected: All Capacities
• Duration: Indefinite
• Start Date: 4/19/2021

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The Sonn Law Group is currently investigating allegations surrounding Gilbert Cox. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.