Anthony Glenn Hall of Dayton Texas a stockbroker formerly employed by Edward Jones has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to comply with the regulator’s investigation into accusations of complaints relating to customer loans. Letter of Acceptance Waiver and Consent No. 2019063918601 (July 2, 2020).
According to the AWC, on September 11, 2019, FINRA received a Uniform Termination Notice for Securities Industry Registration from Edward Jones which revealed that Hall had been discharged from employment on August 14, 2019 supported by allegations of the stockbroker trying to settle complaints with customers who made loans to the stockbroker’s spouse.
The AWC stated that on February 18, 2020, Hall was sent a letter from FINRA which called upon him to provide documentation and information to the regulator in response to the accusations against him. Hall was expected to cooperate by handing over this information by March 3, 2020 but the stockbroker never honored FINRA’s request. On March 19, 2020, Hall corresponded with FINRA personnel to reveal that he would not be providing any documentation and information at any point. FINRA found that Hall had obstructed its investigation in violation of FINRA Rules 2010 and 8210. He was barred by the regulator for this reason.
FINRA Public Disclosure reveals that Hall has been identified in two customer initiated investment related disputes containing allegations of his misconduct while employed by Edward Jones. On December 10, 2019, a customer initiated investment related complaint involving Hall’s conduct was settled for $174,427.75 in damages based upon allegations of the failure to repay a customer’s loan. Hall is also the subject of a customer initiated investment related written complaint which was settled for $130,000.00 in damages on December 16, 2019 based upon allegations of the default on a loan which the customer made to the stockbroker’s spouse.
