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FINRA Awards for Jeffrey Cox

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0011204/24/2019Claimant(s): Jeffrey Cox, Samuel Garrido
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Christine L. Stetson, Maryanne M. Esser, Shannon Lyn Mays
Hearing Site: Houston, TX
Checkmark IconExpungement
18-0017704/08/2019Claimant(s): Jeffrey Cox, Samuel Garrido
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC, Cetera Investment Services LLC
Respondent Lawyers(s): David J. Freniere, Sean T. Needham
Arbitrator(s): Daniel J. Pagnano, Charles Leonard Smith, Nick Thomas
Hearing Site: Houston, TX
Checkmark IconExpungement

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