Tag Archives: Edward D. Jones & Co.

Edward Jones Broker Barred In FINRA Theft Investigation

James Thomas Walters II of Macon Georgia 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 accusations that Walters neglected to provide a response to FINRA’s information request possibly concerning his termination from Edward Jones. FINRA Case No. 2018058353701 […]

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Edward Jones Discharges Broker For Conduct Violations

September 28, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Curtis Lee Howard of Mobile Alabama a stockbroker formerly employed by Edward Jones has been discharged on August 10, 2017 supported by accusations that Howard failed to conform to the firm’s professional conduct standards. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Howard has been identified in two customer initiated investment related disputes pertaining […]

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Edward Jones Discharges Broker For Unauthorized Trading

September 28, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Edward Alvarez Gonzales of Lakewood Washington a stockbroker formerly registered with Edward Jones has been discharged by the firm on July 10, 2018 based upon accusations that Gonzales violated the firm’s policies by failing to contact customers during the days that he entered trades in their investment accounts. Financial Industry Regulatory Authority (FINRA) Public Disclosure […]

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Edward Jones Discharges Broker For Unauthorized Trading

September 27, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Thomas S. Martin of Santa Fe New Mexico a stockbroker formerly registered with Edward Jones has been discharged from the firm on July 28, 2017 based upon accusations that he exercised discretion in customer accounts in violation of Edward Jones’ policy. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Martin has been identified in […]

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Ameritas Stockbroker Terminated For Customer Compliant

Daniel K. Kittner of Mesa Arizona is a stockbroker formerly employed with Ameritas Investment Corp. who was terminated on November 1 2017 supported by accusations that he was subject of a customer initiated investment related complaint. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on December 28, 2005, a customer filed an investment related […]

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Edward Jones Stockbroker Suspended for Private Securities Transactions

Paul D. Garnett of Beatrice, Nebraska, a registered representative for Edward Jones, was fined $40,000 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he participated in unauthorized private security transactions and an outside business activity. Letter of Acceptance, Waiver and […]

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Stockbroker With Unpaid Tax Liens Sells Tax Liens to Investors

      Indiana Pennsylvania based stockbroker Bernard M. Parker has plenty of tax liens.  Since 2006, according to public disclosure records, he appears to have had at least six liens against him for failure to pay his taxes.  In fact, Bernard Parker had so many tax liens against him, he began selling tax liens […]

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Edward Jones Overcharges Customers $12,000,000

November 15, 2015  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

Edward D. Jones & Co., L.P., located in St. Louis, Missouri, was censured by Financial Industry Regulatory Authority (FINRA) for disadvantaging certain retirement plan and charitable organization customers that were eligible to purchase Class A shares in certain mutual funds without a front-end sales charge; and for failing to establish and maintain a supervisory system […]

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Edward Jones Broker Barred In Unauthorized Trading Investigation

Daniel Gregory Retzke, a registered representative with Edward D. Jones & Co., L.P., was permanently bared from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after failing to provide information and documentation requested by FINRA in connection with an investigation into Retzke’s alleged private securities offerings. Letter of Acceptance, Waiver, […]

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