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Austin Fox Formerly With Cetera Investment Services LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Austin Fox formerly with Cetera Investment Services LLC?

Austin Fox

Austin Fox (CRD #3053879) who was formerly registered with Cetera Investment Services LLC and located in Acworth, Georgia, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services LLC, Austin Fox was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Austin Fox has had his own share of regulatory problems. In 2022, he was permanently barred by FINRA for any further association in any capacity with any FINRA member firm for failing to respond to FINRA requests for information.

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Austin Fox Customer Complaints

Austin Fox has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were recently denied and, to date, the investors have not taken any further action. The third customer complaint is still pending in a FINRA arbitration proceeding.

Allegations Against Austin Fox

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Failure to disclose market in tax risk of master limited partnership investments.
  • Misrepresentations and misleading statements in connection with the offer and sale of variable life insurance policies.
  • Dissatisfaction with recommended REIT investment.

Austin Fox Red Flags & Your Rights As An Investor

Of course, Austin Fox did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Austin Fox at Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Austin Fox has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Cetera Investment Services LLC Due To Austin Fox

If you have questions about Cetera Investment Services LLC and/or Austin Fox and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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