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Edward Jones Stockbroker Unauthorized Borrowing Of Customer Funds

August 25, 2016 | Posted by : Guiliano Law Group | Customer Loans, Failure To Supervise, Investment and Regulatory News | 0 Comments

Neither a borrower nor a lender be. Ciro Gilbert Cavazos, of Chico, California, a stockbroker with Edward Jones, was fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member firm any capacity after consenting to findings that he engaged in the unauthorized borrowing of customer funds. Letter of […]

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Edward Jones Stockbroker Unauthorized Borrowing Of Customer Funds

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