Gilbert W. Cox of Concord New Hampshire a stockbroker formerly registered with Citizens Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Cox hindered a FINRA investigation into accusations of his outside business activities. Letter of Acceptance Waiver and Consent No. 2020066700601 (Apr. 19, 2021).
According to the AWC, Cox had been discharged from Citizens Securities based upon allegations that he did not cooperate with its internal investigation. That investigation pertained to Cox’s outside business activities.
FINRA launched an investigation into Cox’s departure from Citizens Securities. On February 18, 2021, Cox was asked by FINRA to provide documents and information in response to the securities broker dealer’s accusations against him.
FINRA was made aware from Cox on March 31, 2021 that he understood what was requested of him and that he would not be honoring FINRA’s requests. Cox refused to hand over any documents or information in violation of FINRA Rules 2010 and 8210.
Cox was registered with Citizens Securities Inc. between January 31, 2020 and May 19, 2020. He was also registered with NYLife Securities between March 30, 2017 and February 6, 2020.
