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Edward Jones Stockbroker Suspended For Unauthorized Trading

March 17, 2016 | Posted by : Guiliano Law Group | Investment and Regulatory News, Mutual Fund Fraud, Unauthorized Trading | 0 Comments

Derek Prater, of Baytown, Texas, a stockbroker with Edward D. Jones & Co., L.P., was fined $17,500.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in unauthorized trades in customer accounts; and misled his firm in the course […]

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Edward Jones Stockbroker Suspended For Unauthorized Trading

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