WILLIAM FREDERICK FOX is currently employed as a Broker and/or Investment Adviser at FIRST ALLIED SECURITIES, INC. located at 5920 West William Cannon Drive, Building 7, Suite 201, Austin, TX, 78749.
WILLIAM FREDERICK FOX has worked at FIRST ALLIED SECURITIES, INC. since November 03, 2014
Disclosure History
WILLIAM FREDERICK FOX has 4 Disclosure Event(s).
Date: March 10, 2016 Category: Customer Dispute Allegations: Claimant alleged that the advisor's recommendation to invest in private placement REIT's was not appropriate. Damage Amount Requested: $100,000.01 Settlement Amount: $70,000.00
Date: September 05, 2012 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THE REPRESENTATIVE'S RECOMMENDATION FOR THE SUBACCOUNTS OF HIS VARIABLE LIFE INSURANCE POLICY, PURCHASED IN NOVEMBER 1999, WERE NOT APPROPRIATE. Damage Amount Requested: $5,000.00
Date: May 02, 2012 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: May 02, 2012 Category: Financial Type: Compromise Disposition: Satisfied/Released
More Information
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