WALLACE FRANKLIN COX

WALLACE FRANKLIN COX is currently employed as a Broker and/or Investment Adviser at FARMERS FINANCIAL SOLUTIONS, LLC located at 9316 E. RAINTREE DR. STE.120, (88-06-5H), SCOTTSDALE, AZ, 85260.

WALLACE FRANKLIN COX has worked at FARMERS FINANCIAL SOLUTIONS, LLC since February 04, 2013

Disclosure History

WALLACE FRANKLIN COX has 2 Disclosure Event(s).

Date: November 01, 1988
Category: Customer Dispute
Allegations: CUSTOMER LOST MONEY-CLAIMED HE WAS UNSUITABLE FOR INVESMENTS. PRUDENTIAL-BACHE PAID HIM APPROX. 12, 000 PLUS LEGAL FEES, NOT ADMITTING ANY WRONGDOING OR GUILTOF FIRM OR BROKER.
Damage Amount Requested: $12,000.00
Settlement Amount: $12,000.00

Date: January 01, 1986
Category: Customer Dispute
Allegations: CUSTOMER COMPLAINED ABOUT OPTION LOST THE FIRM LOST OR COULD NOT LOCATE THE OPTION AGREEMENT AND SIMMONS GREEN DECIDED TO REIMBURSE CUSTOMER TO MAKE HIM HAPPY
Damage Amount Requested: $28,000.00
Settlement Amount: $28,000.00

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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