Advisor Alert: Our Attorneys Are Investigating Austin Havird Fox For Investment Fraud
Did You Lose Money Because of Austin Fox?
Filed: November 15, 2023
Austin Fox currently has one (1) pending customer complaint. Overall, he has been the subject of three (3) customer complaints and one (1) regulatory event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Austin Havird Fox.
Who Is Austin Havird Fox?
- Advisor Name: Austin Havird Fox
- Aliases: Austin H Fox
- CRD: 3053879
- Location: Acworth, Georgia
- Current Employer: No Longer Allowed to Practice in the Securities Industry
- Previous Firms: Cetera Investment Services LLC, Corecap Investments, Inc., and AXA Advisors, LLC
- Number of Known Customer Complaints: 3
- Number of Known Regulatory Events: 1
- Can Austin Fox Be Sued: Yes, in Private Arbitration
- Can Austin Fox’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $40,000
- Highest Settlement: Unknown
If you have suffered investment losses by Austin Fox, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Austin Fox For Broker Misconduct
As of this publication date, Austin Fox has been the subject of 3 customer disputes and 1 regulatory event. Let’s review them below.
In April 2023, a complaint was filed against or in reference to Austin Fox by a customer of Cetera Investment Services LLC alleging market loss. Accounts have moved, no longer with CIS.
In February 2023, a FINRA arbitration was filed against or in reference to Austin Fox by a customer of Cetera Investment Services LLC alleging that Mr. Fox failed to disclose market and tax risk. Per the customer, he/she lost over $40,000 because of Mr. Fox’s actions. As of this publication date, this claim remains pending.
In October 2021, FINRA initiated a regulatory event against or in reference to Austin Fox for failing to respond to FINRA requests for information.
In September 2005, a complaint was filed against or in reference to Austin Fox by multiple customers of AXA Advisors alleging that they were misled in the sale of various 2004 variable life insurance policies. The clients allege they were looking for policies designed to have heavy concentration on cash value for future retirement needs and a college fund for their son. The clients further allege that the policies represented did not meet those needs based on the heavy concentration on the insurance and expense ratios.
How To File A Claim Against Austin Fox (previously with Cetera Investment Services LLC, Corecap Investments, Inc., and AXA Advisors, LLC) To Get Your Money Back.
If you have questions about Austin Fox, Cetera Investment Services LLC, Corecap Investments, Inc., AXA Advisors, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.