Tag Archives: Benjamin F. Edwards & Company

Morgan Stanley Stockbroker Sanctioned For Unauthorized Trading

February 01, 2021  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   Comments Off on Morgan Stanley Stockbroker Sanctioned For Unauthorized Trading

John Frederick Griner of Atlanta Georgia a stockbroker and investment adviser representative of Morgan Stanley has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he enganged in unauthorized trading in customer accounts. Letter of Acceptance Waiver and Consent No. 2019064538201 (Jan. […]

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Benjamin F. Edwards Stockbroker Terminated For Unauthorized Trading

November 24, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Peter Charlton Budd Jr. of Morristown New Jersey a stockbroker formerly employed by Benjamin F. Edwards Company Inc. has been terminated by the securities broker dealer on July 15, 2019 founded on allegations that (1) he effected unauthorized trades in the accounts of Benjamin F. Edwards customers and (2) he engaged in securities business without […]

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FINRA Bars Benjamin F. Edwards Stockbroker In Investigation

October 18, 2019  |   Posted by :   |   Forgery, Investment and Regulatory News   |   0 Comments

Maureen Ann Scalzo (also known as Maureen Ann Hunt) of Danbury Connecticut a stockbroker formerly registered with Benjamin F. Edwards Company Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Scalzo refused to make an appearance and provide recorded testimony before FINRA personnel […]

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Benjamin F. Edwards Stockbroker Suspended for Private Securities Transactions

Aon D. Miller of Chattanooga, Tennessee, a stockbroker with Benjamin F. Edwards & Company, was fined $50,000 and suspended for two years from association with any Financial Industry Regulatory Authority (FINRA) member per an FINRA Extended Hearing Panel Decision which contained findings that Miller engaged in private securities transactions without providing prior written notice to […]

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