JOETTA LYNN COX is currently employed as a Broker and/or Investment Adviser at BOK FINANCIAL SECURITIES, INC. located at 3237 SOUTH PEORIA, PLAZA SOUTHEAST, TULSA, OK, 74101.
JOETTA LYNN COX has worked at BOK FINANCIAL SECURITIES, INC. since December 01, 2005
Disclosure History
JOETTA LYNN COX has 1 Disclosure Event(s).
Date: February 02, 2009 Category: Customer Dispute Allegations: CLIENT WANTED TO TRANSFER TWO 401K ACCOUNTS AND ONE IRA ACCOUNT TO THE REP AND BOSC. FEFORE THE TRANFERS WERE MADE THE CLIENT WANTED ALL INVESTMENTS MOVED TO CASH. THE REP SAID SHE WOULD HELP. WITH THE CLIENT AT THE REP'S DESK, THEY CONTACTED EACH FIRM WHERE THE ACCOUNTS WERE CURRENTLY HELD IN ORDER TO MOVE THE MONEY TO CASH. THE MOVEMENT TO CASH WAS EXECUTED OVER THE PHONE FOR TWO OF THE ACCOUNTS. THE THIRD HAD TO BE COMPLETED OVER THE 401K FIRM'S INTERNET SITE. THE CLIENT WATCHED THE REP AS WHAT BOTH BELIEVED WAS MOVEMENT OF THE BALANCE TO CASH. A CONFIRMATION WAS RECEIVED AND GIVEN TO THE CLIENT. WHAT ACTUALLY HAPPENED WAS A CHANGE TO ANY FUTURE CONTRIBUTIONS TO CASH. EVEN THOUGH THE CLIENT WATCHED THE REP WHEN THE CHANGES WERE MADE, THE CLIENT BLAMES THE REP FOR A LOSS SINCE THE BALANCE WAS STILL IN THE MARKET AND THE MARKET DECLINED. Damage Amount Requested: $18,000.00
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