Annetta Marie Box (also known as Annetta Marie Taylor) of Dallas, Texas, a stockbroker formerly registered with Cambridge Investment Research Inc. has been barred from associating with any FINRA member in any capacity based upon allegations that Box failed to cooperate in a FINRA investigation. Letter of Acceptance Waiver and Consent No. 2022075235601 (Aug. 11, 2022).
According to the AWC, on October 29, 2021, Cambridge Investment Research Inc. filed a Uniform Termination Notice (Form U5) indicating that Box voluntarily resigned from the securities broker dealer. On July 8, 2022, FINRA sent Box a request for the production of documents and information relating to an investigation concerning her outside business activities.
Box submitted an incomplete response to FIRA’s request on July 15, 2022. On July 21, 2022, Box indicated in an email that she had received the request and would not deliver the information. As a result, Box violated FINRA Rules 2010 and 8210.
From 2020 to 2021, Box was associated with Cambridge Investment Research Inc. From 2019 to 2020, Box was associated with Royal Alliance Associates, and from 2017 to 2019, she was associated with Securities America Inc.
