According to a recent FINRA announcement, Robert Joe Cross Jr. (CRD #2978747, Rome, Georgia) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cross consented to the sanction and to the entry of findings that he failed to appear for FINRA on-the-record testimony during the course of its investigation into Cross’ outside business activities, financial reporting obligations, and whether he accepted unapproved loans from a customer while engaging in a private securities transaction.
For the full FINRA findings, see FINRA Case #2014041637201.
According to his FINRA Broker Check, Cross was registered with ALLSTATE FINANCIAL SERVICES from 08/2006 – 06/2013.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For more information on The White Law Group, visit https://www.whitesecuritieslaw.com.
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