Newbridge Securities Broker James Cox Subject of Five Customer Disputes & FINRA Suspension

Sonn Law Group is investigating potential claims of broker misconduct involving James Cox (CRD# 2365633). Currently associated with Newbridge Securities Corporation in Boca Raton, Florida, Mr. Cox’s professional record includes a FINRA suspension, a termination for “lack of confidence,” and multiple high-value customer disputes.

A Pattern of Disclosures: What Investors Need to Know

James Cox has been in the industry since 1997, but his recent regulatory and employment history contains several significant warnings for investors:

• 2025 Pending Dispute ($250,295): A July 2025 complaint alleges negligent misrepresentation and breach of fiduciary duty regarding the sale of Certificates of Deposit (CDs).
• Stifel Nicolaus Termination (2017): Mr. Cox was “discharged” (fired) from Stifel Nicolaus following a “lack of confidence” after a customer complaint settlement and his failure to disclose outside business activities.
• FINRA Suspension (2017): FINRA suspended Mr. Cox for four months and ordered him to pay over $35,000 in fines and disgorgement. The sanctions stemmed from allegations of unsuitable annuity transactions and engaging in undisclosed consulting services for a customer.

The “Stanford Group” Connection

Notably, Mr. Cox was previously registered with Stanford Group Company (2008–2009), a firm that was shut down by the SEC after it was revealed to be a massive Ponzi scheme. The current pending complaint involving CD sales (a common product at the center of the Stanford scandal) highlights the importance of professional scrutiny for former Stanford employees.

Why Supervision Matters

Under FINRA Rule 3110, Newbridge Securities Corporation is legally required to supervise the activities of its brokers. Given Mr. Cox’s history of regulatory sanctions and his prior termination, the firm’s duty to monitor his recommendations—particularly regarding high-commission products like annuities or complex CDs—is heightened.

If Newbridge failed to provide adequate “heightened supervision,” they may be liable for your financial losses.

How to Pursue Recovery

If you were a client of James Cox and believe you were misled about the risks of your investments or were recommended unsuitable products, you may have a claim for recovery through FINRA Arbitration.

Sonn Law Group provides:

• Zero Upfront Costs: We operate on a contingency fee basis.
• National Reach: We represent investors across the U.S.
• Expert Analysis: We will review your account statements to identify “churning” or unsuitable trades at no cost.

Contact Sonn Law Group Today
Phone: 833-912-3000
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Don’t wait—FINRA claims are subject to strict statutes of limitation.