Randy Carter Cox of Hudson Oaks, Texas, a stockbroker registered with FSC Securities Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that Cox made the unsuitable investment recommendation of real estate securities or REITs during the time that Cox was associated with FSC Securities Corporation. FINRA Arbitration No. 23-03386 (November 28, 2023).
This is not the first time that Cox has been referenced in a customer initiated investment related dispute concerning Cox’s conduct in the securities industry. FINRA Public Disclosure shows that Cox is also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $100,000.00 in damages based upon allegations that the broker violated Texas securities laws and FINRA rules in connection with the sale of real estate securities, oil and gas investments, variable annuities, mutual funds, and direct investments (direct participation program and limited partnership interests) when Cox was associated with FSC Securities Corporation. FINRA Arbitration No. 12-03877.
Cox was associated with FSC Securities Corporation in Hudson Oaks, Texas from October 28, 1994, to November 3, 2023.
Cox has been associated with Osaic Wealth Inc. in Hudson Oaks, Texas since November 3, 2023.
