James Vincent Marino of Pompano Beach Florida a stockbroker formerly registered with Edward Jones has been barred as a stockbroker and investment adviser representative by Securities and Exchange Commission (SEC) according to an Order that is based on Marino’s conviction of theft. In the Matter of James Vincent Marino Administrative Proceeding File No. 3-20061 (Sept….
Thomas S. Martin of Sante Fe New Mexico a stockbroker formerly registered with Edward Jones has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Martin effected unauthorized trades in the accounts of Edward Jones customers. Letter of Acceptance Waiver…
Patricia Ellen Del Bene (also known as Patricia Ellen Comeau, Patricia Ellen Delbene and Patricia Ellen Ross) of Oviedo Florida a stockbroker currently registered with Edward Jones is referenced in a customer initiated investment related complaint on April 30, 2018 where the customer requested more than $5,000.00 in damages supported by accusations that the customer…
Scott Richard Riley of Hooksett New Hampshire a stockbroker formerly employed by Edward Jones has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that (1) Riley exercised discretion in customer accounts without having any written authorization (2) Riley executed trades without customers’ consent….
Todd Bruning Osing of Peoria Illinois a stockbroker currently employed by Edward Jones is referenced in a customer initiated investment complaint which was settled on June 19, 2018 to resolve accusations that Osing gave the customer unsuitable investment recommendations concerning the sale of mutual funds held in the customer’s investment portfolio. Financial Industry Regulatory Authority…
Jay Thompson Humphreys of Golden Valley Minnesota a stockbroker formerly employed by Edward Jones is referenced in a customer initiated investment related complaint on May 1, 2018 in which the customer requested damages estimated to exceed $5,000.00 based upon accusations that between March of 2017 and April of 2017, unauthorized stock trades were effected in…
David Arthur Ellingwood of Leesburg Virginia a stockbroker formerly employed by Edward Jones has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that transactions were executed by Ellingwood in Edward Jones customer accounts without permission. Letter of Acceptance Waiver and…
Christopher Allen Coffman of York New England a stockbroker formerly registered with Edward Jones is referenced in a customer initiated investment related written complaint which was settled on June 23, 2016 to resolve accusations that omissions had been made to the customer concerning the tax liability pertaining to the exchange of mutual funds in the…
Robert L. Friederich of Lake Zurich Illinois a stockbroker formerly registered with Edward Jones is the subject of a customer initiated investment related complaint which was settled on September 22, 2017 for $18,827.28 in damages founded on allegations that Friederich made inappropriate investment recommendations concerning the customer’s sale of mutual funds and purchase of single…
Donald Logan of Silverdale Washington a stockbroker formerly employed by Edward Jones has been fined $25,000.00 and suspended for eighteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based in part upon consenting to findings that Logan effected unauthorized trades in customer accounts and caused customers to sign incomplete…
Matthew James Ladendecker of Kingman Arizona a stockbroker currently registered with Edward Jones is the subject of a customer initiated investment related written complaint which was resolved for $15,172.00 on June 7, 2018 supported by accusations that Ladendecker made misrepresentations to the customer concerning the tax consequences of making a distribution from the customer’s individual…
Mark Allen Watts of New Haven Indiana a stockbroker currently registered with Edward Jones is the subject of a customer initiated investment related written complaint which settled on January 31, 2018 to resolve allegations that the customer was poorly advised by Watts concerning the placement of funds in a 529 Plan. Financial Industry Regulatory Authority…
Lisa Kristine Rodriguez of Oroville California is a stockbroker currently registered with Edward Jones who is the subject of a customer initiated investment related written complaint on January 31, 2017 in which the customer sought more than $5,000.00 in damages supported by accusations that Rodriguez made misrepresentations to the customer concerning an AIG Polaris Platinum…
Wesley Clint Smith, of Lumberton, Texas, a stockbroker previously registered with Edward Jones, has been subject to a customer initiated investment related arbitration claim from November 17, 2015, in which the customer requested $9,000.00 in damages based upon allegations that Smith’s unauthorized distribution of the customers’ funds caused the customer to bear tax liabilities. On…
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…