Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Fox (Fox), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fox recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $40,000.00 on February 14, 2023.
Claimant alleges that Respondent’s registered representative failed to disclose market and tax risk.