{"id":2982,"date":"2015-07-28T00:00:00","date_gmt":"2015-07-28T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/jon-cox-barred-from-securities-industry-after-finra-launches-investigation\/"},"modified":"2018-10-08T12:41:55","modified_gmt":"2018-10-08T16:41:55","slug":"jon-cox-barred-from-securities-industry-after-finra-launches-investigation","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/jon-cox-barred-from-securities-industry-after-finra-launches-investigation\/","title":{"rendered":"Jon Cox Barred From Securities Industry After FINRA Launches Investigation"},"content":{"rendered":"<p><h2>Investigation follows termination from LPL Financial<\/h2>\n<\/p>\n<p><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/cox.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"alignnone  wp-image-1617\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/cox-1024x575.jpg\" alt=\"Jon Cox \" width=\"771\" height=\"482\" \/><\/a><\/p>\n<p>Jon Lawrence Cox, who has been in the securities industry since June 1990, <a href=\"http:\/\/disciplinaryactions.finra.org\/Search\/ViewDocument\/38056\"  target=\"_blank\">according to FINRA documents<\/a>, has been barred as of April 29 after allegedly failing to respond to three written requests from FINRA to provide information to aid an investigation into allegations against him.<\/p>\n<p>Cox was discharged from LPL Financial after allegedly violating policies about outside business activities, according to a disclosure made by the firm. After receiving this information, FINRA launched its own investigation into whether those activities violated its rules as well. FINRA requested information from Cox, who allegedly did not provide it, leading to his barring.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/jon-cox-barred-from-securities-industry-after-finra-launches-investigation\/\"  title=\"Continue Reading Jon Cox Barred From Securities Industry After FINRA Launches Investigation\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Investigation follows termination from LPL Financial Jon Lawrence Cox, who has been in the securities industry since June 1990, according to FINRA documents, has been barred as of April 29 after allegedly failing to respond to three written requests from FINRA to provide information to aid an investigation into allegations against him. Cox was discharged [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578,599],"tags":[508,9,39,290],"class_list":["post-2982","post","type-post","status-publish","format-standard","hentry","category-all-releases","category-securities-arbitration","tag-financial-loss","tag-finra","tag-lpl-financial","tag-securities-arbitration"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Jon Cox Barred From Securities Industry After FINRA Launches Investigation &#8212; Securities Arbitration Lawyers Blog &#8212; July 28, 2015<\/title>\n<meta name=\"description\" content=\"Jon Cox, according to FINRA documents, has been barred after allegedly failing to respond to three written requests from FINRA to provide information to aid an investigation into allegations against him.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/jon-cox-barred-from-securities-industry-after-finra-launches-investigation\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Jon Cox Barred From Securities Industry After FINRA Launches Investigation &#8212; 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