MICHAEL PRESTON COX is currently employed as a Broker and/or Investment Adviser at LOMBARD SECURITIES INCORPORATED located at 130 LIBRARY LANE, SUITE 100, MATTHEWS, NC, 28105.
MICHAEL PRESTON COX has worked at LOMBARD SECURITIES INCORPORATED since January 10, 2007
Disclosure History
MICHAEL PRESTON COX has 2 Disclosure Event(s).
Date: August 19, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT DUE TO THEIR FINANCIAL SITUATION INVESTMENTS WERE NOT SUITABLE BECAUSE OF THE RESULTING FEES, COMMISSIONS AND TAXES CONSEQUENCES. ACTIVITY TOOK PLACE IN APRIL 2002. Damage Amount Requested: $10,500.00
Date: September 24, 1996 Category: Customer Dispute Allegations: UNSUITABILITY, EXCESSIVE TRADING, ALLEGEDDAMAGES OF $450,000. Damage Amount Requested: $250,000.00 Settlement Amount: $135,000.00 Broker Comment: SETTLED FOR $135,000.Not Provided
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