Annetta Marie Box Investigation
February 2023- Dallas, TX
According to publicly available records Annetta Marie Box,a former broker who last worked for Cambridge Investment Research, discloses a final regulatory matter resulting in a permanent bar from the industry.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 8/2022 FINRA permanently barred Box from the securities industry in all capacities to resolve allegations that she refused to provide information and documents requested by FINRA in connection with its investigation about her outside business activities.
Box was employed by Cambridge Investment Research from 8/2020 until 10/2021 when she was barred from FINRA. Earlier in her career she was employed by Royal Alliance Associates, Inc., Securities America, Perryman Securities, Inc. and HD Vest Investment Services all in the Dallas area.
If you have questions about an account handled by Annetta Marie Box contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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