Tag Archives: Edward Jones & Co.

FINRA Files Complaint Against Edward Jones Stockbroker

September 16, 2021  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   Comments Off on FINRA Files Complaint Against Edward Jones Stockbroker

Alan Robert Price of Frankfort Indiana a stockbroker formerly registered with Edward Jones has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with engaging in unauthorized activities including borrowing from customers while he was registered with Edward Jones. Department of Enforcement v. Alan Price Disciplinary Proceeding No. 2020066136801 (Aug. 30, 2021). According […]

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Edward Jones Stockbroker Barred By FINRA In Investigation

August 15, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News, Stockbroker Theft   |   Comments Off on Edward Jones Stockbroker Barred By FINRA In Investigation

Casey James Kemerly of Pennington Gap Virginia a stockbroker formerly registered with Edward Jones has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he did not cooperate with FINRA when it investigated his termination from Edward Jones and his criminal charges from August of […]

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FINRA Charges Edward Jones Stockbroker In Investigation

April 18, 2021  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   Comments Off on FINRA Charges Edward Jones Stockbroker In Investigation

Alan Robert Price of Frankfort Indiana a stockbroker formerly registered with Edward Jones has been charged by Financial Industry Regulatory Authority (“FINRA”) Department of Enforcement with failing to cooperate with FINRA’s requests during the period that he was under investigation for borrowing funds form a customer. Department of Enforcement v. Alan Price Disciplinary Proceeding No. […]

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Cabot Lodge Securities Terminates Stockbroker For Cause

March 31, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Cabot Lodge Securities Terminates Stockbroker For Cause

Albert Lewis DeGaetano of Independence Ohio a stockbroker formerly registered with Cabot Lodge Securities LLC has been discharged on November 15, 2019 based upon allegations of him violating the firm’s directives as it related to private securities transactions. Cabot Lodge Securities also alleged that DeGaetano’s correspondence with the public violated firm policy. This is not […]

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Edward Jones Stockbroker Sanctioned For Unauthorized Trading

March 18, 2021  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   Comments Off on Edward Jones Stockbroker Sanctioned For Unauthorized Trading

Lang Phu Nguyen of Campton Hills Illinois a stockbroker formerly registered with Edward Jones has been fined $5,000.00 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Nguyen executed unauthorized trades in customer accounts when he was associated with Edward Jones. Letter […]

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FINRA Bars Edward Jones Stockbroker In Investigation Over Sporting Tickets

February 16, 2021  |   Posted by :   |   Investment and Regulatory News   |   Comments Off on FINRA Bars Edward Jones Stockbroker In Investigation Over Sporting Tickets

Javelin Mikol San Nicolas of Sparks Nevada a stockbroker formerly registered with Edward Jones has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he refused to comply with FINRA’s investigation into accusations of his mishandling of customer funds. Letter of Acceptance Waiver and Consent […]

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Edward Jones Stockbroker Barred In Investigation

November 30, 2020  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Edward Jones Stockbroker Barred In Investigation

Matthew Thomas Jennings of Johnston Iowa a stockbroker formerly registered with Edward Jones has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he did not comply with a FINRA investigation into allegations of him offering investments to customers outside the auspices of Edward Jones. […]

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Edward Jones Stockbroker Barred In Loan Investigation

July 11, 2020  |   Posted by :   |   Customer Loans   |   Comments Off on Edward Jones Stockbroker Barred In Loan Investigation

Anthony Glenn Hall of Dayton Texas 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 findings that he failed to comply with the regulator’s investigation into accusations of complaints relating to customer loans. Letter of Acceptance Waiver and Consent […]

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Investors Accuse Edward Jones Of Bad Investment Advice

May 12, 2020  |   Posted by :   |   Variable Annuites   |   Comments Off on Investors Accuse Edward Jones Of Bad Investment Advice

Eli Jacob Sanchez of San Antonio Texas a stockbroker registered with Edward Jones is the subject of a customer initiated investment related complaint on December 10, 2018 in which the customer requested unspecified damages based upon allegations of bad advice by Sanchez as it pertained to the Lincoln ChoicePlus Fusion O Share Annuity that was […]

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Investors Sue Edward Jones For $1 Million

April 23, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims   |   Comments Off on Investors Sue Edward Jones For $1 Million

Curtis Lee Howard (also known as Curt Howard) of Sapulpa Oklahoma a stockbroker formerly employed by Edward Jones has been identified in a customer initiated investment related arbitration claim where the customer sought $1,000,000.00 in damages founded on accusations that (1) a fiduciary duty that was owed to the customer had been breached by Howard […]

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Edward Jones Stockbroker Sanctioned For Forgery

April 08, 2020  |   Posted by :   |   Forgery   |   Comments Off on Edward Jones Stockbroker Sanctioned For Forgery

Jennifer Lillian Basey (also known as Jennifer Lillian Hilliard) of Fort Myers Florida a stockbroker formerly registered with Edward Jones has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she forged customers’ signatures to effect fund […]

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Edward Jones Stockbroker Barred For Unauthorized Trading

February 25, 2020  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

William David Lancaster of Wagoner Oklahoma a stockbroker formerly employed by Edward Jones has been barred by the Administrator of the Oklahoma Department of Securities from working as a stockbroker or investment adviser representative for twenty-four months founded on accusations that the stockbroker engaged in dishonest or unethical business practices when he was employed by […]

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Investors Accuse Edward Jones Of Misrepresentation

November 22, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Jeffrey Travis King of Kansas City Missouri a stockbroker formerly registered with Edward Jones is referenced in a customer initiated investment related written complaint which was resolved for $40,818.00 in damages on August 28, 2019 supported by accusations that unfounded statements had been made by the stockbroker in regards to the customer’s Edward Jones Advisory […]

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Investors Accuse Edward Jones Of Bad Investment Advice

October 14, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Brian D. Addis of Vandalia Ohio a stockbroker formerly employed by Edward Jones is the subject of a customer initiated investment related complaint on June 27, 2017 in which the customer sought more than $5,000.00 in damages founded on allegations that Addis provided the customer with bad advice in regard to the transition of the […]

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Edward Jones Accused Of Excessive Trading

September 13, 2019  |   Posted by :   |   Excessive Trading, Investment and Regulatory News   |   0 Comments

Robert Andrew Kahn of Creve Coeur Missouri a stockbroker formerly registered with Edward Jones is the subject of a customer initiated investment related written complaint on September 10, 2018 in which the customer sought $104,133.00 in damages based upon allegations that (1) unsuitable trades were executed in the customer’s account (2) trades had been made […]

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Regulator Bars Edward Jones Stockbroker For Conversion

Matthew Donald Kerby of Paoli Indiana a stockbroker formerly employed by Edward Jones has been permanently barred by the Indiana Securities Division from engaging in securities business in the State of Indiana according to an Order containing allegations of Kerby’s violation of the Indiana Uniform Securities because of being barred by Financial Industry Regulatory Authority […]

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FINRA Fines Edward Jones For Lying About Customer Complaints

June 27, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Edward Jones Co. L.P. a securities broker dealer headquartered in Saint Louis Missouri has been censured and fined $40,000.00 by Financial Industry Regulatory Authority (FINRA) based upon findings that the firm lied about the amount of compensatory damages sought by customers who brought investment related disputes against the firm. Letter of Acceptance Waiver and Consent […]

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Edward Jones Brokers Terminated For Misconduct

Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that registered representatives of Edward Jones including Bruce Stanley Jakiel, Derek Strubel, John Burton Enoch Cestia II, Leslie Greenman and Tahnee Allman have been terminated by the firm founded on Edward Jones’ allegations of their violative conduct while they were employed by the firm. Bruce Stanley Jakiel […]

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Edward Jones Stockbroker Fired For Unregisterd Sales Assistant

January 06, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Lisa Dawn Peake of Vancouver Washington a stockbroker formerly employed by Edward Jones has been discharged on December 12, 2016 supported by Edward Jones’ accusations that Peake consistently failed to abide by the firm’s policies and allowed an unregistered person to engaged in sales activities with customers of the firm. Financial Industry Regulatory Authority (FINRA) […]

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Edward Jones Broker Caught Unauthorized Trading

November 23, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Mark Stewart Saunders of Monroe City Missouri a stockbroker formerly employed by Edward Jones has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized mutual fund purchases in customer accounts. Letter of Acceptance Waiver and Consent No. […]

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Edward Jones Broker Investigated For Unauthorized Trading

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

Donald Logan of Silverdale Washington a stockbroker formerly employed by Edward Jones is referenced in a Financial Industry Regulatory Authority (FINRA) investigation into accusations that he effected unauthorized trades in a customer’s account. Case No. 2015046378601 (July 20, 2018). FINRA Public Disclosure reveals that a determination had been made by FINRA that an enforcement action […]

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FINRA Bars Edward Jones Broker For Failure To Testify

September 12, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

David Allen Clark of O Fallon Illinois a stockbroker formerly employed by Edward Jones has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Default Decision rendered by the Office of Hearing Officers containing findings that Clark hindered a FINRA investigation by failing to appear and […]

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Edward Jones Accused by Investors Of Unauthorized Trading

Larry Eugene King II of Kalkaska Michigan a stockbroker currently employed by Edward Jones is the subject of a customer initiated investment related written complaint on November 24, 2017 where the customer requested damages estimated to exceed $5,000.00 based upon allegations that unauthorized government debt trades had been effected by King in the customer’s investment […]

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Edward Jones Discharges Broker For Unauthorized Trading

September 12, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Eli Jacob Sanchez of San Antonio Texas a stockbroker registered with Edward Jones has been discharged by the firm on February 27, 2017 supported by allegations that Sanchez (1) placed trades in customer accounts on an unauthorized basis (2) neglected to disclose commissions charged to customers and (3) failed to be forthcoming to compliance personnel […]

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Edward Jones Accused By Investor Of Bad Advice

Terry Dewayne Eskind of Conover North Carolina a stockbroker currently registered with Edward Jones is the subject of a customer initiated investment related written complaint which settled for $100,000.00 in damages on April 2, 2018 founded on allegations that unsuitable recommendations had been made to the customer concerning the sale of stocks from the customer’s […]

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Investors Accuse Edward Jones Of Annuity Fraud

Charles James Mazac of Bastrop Texas a stockbroker formerly registered with Edward Jones is referenced in a customer initiated investment related written complaint on June 18, 2018 in which the customer requested damages estimated to exceed $5,000.00 supported by accusations that Mazac inappropriately made investment recommendations to the customer concerning a Lincoln National Life Insurance […]

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Edward Jones Broker Eric Peter Poague Mystery

August 14, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Eric Peter Poague of Bradford Pennsylvania a stockbroker formerly registered with Edward Jones has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that he “failed to provide information to FINRA personnel that was requested of him.”  Case No. 2017055577901 (Mar. 16, 2018). FINRA can do […]

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Edward Jones Broker Barred In Investigation

Alana Marie Lewis of New London Wisconsin 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 allegations that Lewis neglected to provide FINRA with a response to its request for her information. Case No. 2016051358201 (Jan. 2, 2018). FINRA […]

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Oklahoma Regulator Seeks Bar Of Arvest Stockbroker

May 31, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

William David Lancaster of Wagoner Oklahoma a stockbroker formerly registered with Arvest Wealth Management is the subject of a State of Oklahoma Department of Securities Amended Enforcement Division Recommendation seeking that Lancaster be barred for two years founded on accusations that he engaged in discretionary trading and falsified his application for agent and investment advisor […]

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Edward Jones Sued By Customer For Negligence

May 31, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Peter Lee Swanson of Lakewood Colorado a stockbroker currently registered with Edward Jones is the subject of a customer initiated investment related civil action in which the customer requested more than $5,000.00 in damages based upon accusations that (1) unsuitable investment recommendations had been made to the customer (2) fiduciary duties had been breached (3) […]

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