There are options for clients of Newbridge Securities Corporation broker James Cox (CRD# 2365633) who suffered investment losses. He has been registered with Newbridge Securities Corporation in Boca Raton, Florida, since 2018, and NFSG Corporation in Baton Rouge, Louisiana, since 2018. He was registered with Stifel, Nicolaus & Company, Incorporated in Baton Rouge, Louisiana, from 2015 to 2017, when he was terminated regarding “Lack of confidence after settlement of customer complaint and nondisclosure of outside business activity.” He was registered with Sterne Agee Asset Management, Inc. in Baton Rouge, Louisiana, from 2009 to 2015, and Stanford Group Company in Baton Rouge, Louisiana, from 2008 to 2009.
In June 2017, he was suspended for four months and was sanctioned to pay a $10,000 civil and administrative penalty and fine, and $25,460 in disgorgement. According to FINRA, “He consented to the sanctions and to the entry of findings that he recommended unsuitable annuity transactions to a customer and received net commissions of $25,460 in connection with the exchange. The findings stated that Cox failed to provide prior written notice of an outside business activity to his member firm when he charged the customer $2,500 for consulting services that he provided in connection with the construction of a modular office building for the customer’s medical practice.”
James Cox Customer Complaints
He has been the subject of five customer complaints between 2009 and 2025, according to his CRD report. The most recent complaint was regarding:
July 2025. “Complainant alleges rep made negligent misrepresentations and breached fiduciary duties in the sale of CDs.” The customer is seeking $250,295.17 in damages, and the case is currently pending. The complaint took place while he was registered with Stanford Group Company.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Newbridge Securities Corporation may be liable for investment or other losses suffered by James Cox’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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