Reuben Lamont Brown, of Southlake, Texas, a stockbroker registered with Edward Jones, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Brown failed to testify in a FINRA investigation into allegations of his potential selling away or engaging in private securities transactions during the time that he…
Todd Mathew Bruns, of Folsom, California, a stockbroker registered with Edward Jones, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $54,403.62 in damages based upon allegations that Bruns failed to follow the customer’s directives of liquidating funds and placing them in…
Robert Logan Jones (also known as Bob Jones), of Kissimmee, Florida, a stockbroker registered with Edward Jones, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he refused to comply with the regulator during its investigation into allegations his potential unauthorized trading and use of unauthorized communication…
Jilena Yuen-Han Mok (also known as Jilena Yuenhan Mok and Yuen Han Mok), of San Francisco, California, a stockbroker registered with Edward Jones., has been fined $10,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Mok engaged in unauthorized trading in customer accounts. Letter…
Alexandria Bovee (also known as Alexandria Montgomery), of Sumter, South Carolina, a stockbroker formerly registered with Edward Jones, has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity because Bovee refused to testify in an investigation into whether she violated federal securities laws or FINRA rules in…
Lincoln Lucas Mason, of Arnolds Park, Iowa, a stockbroker formerly registered with Edward Jones, has been fined $5,000.00 and suspended for 90 days by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity because Mason engaged in an undisclosed outside business activity and thereafter supposedly made false statements regarding it….
Matthew Thomas Mierzycki of Round Rock, Texas, a stockbroker registered with Edward Jones, has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Mierzycki engaged in unauthorized trading in customer accounts. Letter of Acceptance, Waiver, and Consent No. 2021073142301 (Dec. 5, 2023)….
James Michael Green, of Chisago City, Minnesota, a stockbroker registered with Edward Jones, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Green failed to cooperate with a FINRA investigation. Letter of Acceptance, Waiver, and Consent No. 2023079059301 (August 23, 2023). On August 23, 2023, FINRA asked…
Geraldine Joyce Polvino, of Nicholasville, Kentucky, a stockbroker associated with Edward Jones, was the subject of a customer initiated investment related complaint that was settled on December 5, 2022, for $40,000.00 in damages. The claim was based upon allegations that Polvino did not properly inform the customer about potential tax implications related to transferring funds…
Daniel Schiffer Terry of Big Rapids, Michigan, a stockbroker registered with Edward Jones, was the subject of a customer initiated investment related complaint that was settled on April 28, 2023, for $8,612.70 in damages based upon allegations that Terry failed to follow instructions concerning the liquidation of securities during the time that Terry was associated…
Richard Lynn Goldston of Fort Scott, Kansas, a stockbroker registered with Edward Jones, is the subject of a customer initiated investment related complaint filed on June 8, 2023, in which the customer requested $41,000.00 in damages based upon allegations that Goldston “borrowed” customer funds and committed fraud in connection with the sale of investments during…
Rogerio T. Almeida (also known as Rogerio De Almeida Filho), of Orange City, Florida, a stockbroker 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 because Almeida engaged in an undisclosed outside business activity. Letter of Acceptance, Waiver,…
Patrick Thomas Gilbride of Brooklyn, New York, a stockbroker registered with Edward Jones, was the subject of a customer initiated investment related complaint that was settled on October 13, 2022, for $5,190.00 in damages based upon allegations that Gilbride engaged in unauthorized trading in mutual funds when Gilbride was registered with Edward Jones. This is…
Scott Paul Smith of Huntington Beach, California, a stockbroker formerly registered with Edward Jones, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Smith borrowed customer funds. Acceptance, Waiver, and Consent No. 2020066349702 (January 5, 2023). Smith served as a registered representative at Edward…
Curtis Lee Howard (also known as Curt Howard), of Sapulpa, Oklahoma, a stockbroker registered with Edward Jones, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $60,000.00 in damages based upon allegations that Howard breached his fiduciary duties, was negligent, breached a contract, and committed fraud in…
Ronald Terrence Molo of Joliet, Illinois, a stockbroker formerly registered with Edward Jones, has been charged by Securities and Exchange Commission (SEC) with stealing approximately $800,000.00 from customers, at least one of which included an Edward Jones customer. SEC v. Ronald T. Molo, Civil Action No. 21-cv-06286 (November 23, 2021). According to SEC’s Complaint, between…
Timothy Charles Williams of Tucson, Arizona, a stockbroker formerly registered with Edward Jones, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity for allegedly failing to comply with a FINRA inquiry. Case No. 2020067985001 (November 15, 2021). According to FINRA Public Disclosure, FINRA sought information from Williams in…
Thomas Michael Hallberg (also known as Tom Hallberg) of Forest Lake, Minnesota, 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 supported by findings of Hallberg’s unauthorized trading in a customer’s account when he was registered with Edward…
John Scott Winslow of Gig Harbor, Washington, 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 Winslow failed to cooperate with a FINRA investigation concerning accusations of his failure to return funds provided to him from an…
Alan Robert Price of Frankfort, Indiana, a stockbroker formerly registered with Edward Jones, has been fined $5,000.00 and suspended for 18 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Price borrowed money from an Edward Jones customer and failed to provide information and documents to…
Anthony Glenn Hall of Dayton, Texas, a stockbroker formerly registered with Edward Jones, is referenced in a customer initiated investment related written complaint on December 18, 2020, in which the customer requested $300,000.00 in damages based upon accusations that funds were “improperly removed” from the customer’s account when Hall was registered with Edward Jones. The…
Ronald Scott Bright, of Milwaukie, Oregon, 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 founded on findings that Bright effected unauthorized transactions in customer accounts during the time that he was employed by Edward Jones. Letter of…
Albert Lewis DeGaetano, of Independence, Ohio, a stockbroker formerly registered with Edward Jones, has been fined $7,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded upon findings that DeGaetano made unauthorized trades in customer accounts when he was registered with Edward Jones. Letter of…
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…
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…
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….
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…
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…
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…
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….
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…
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…
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…
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…
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…
Larry Don Graham Jr. (also known as Donny Graham) of Duncan Oklahoma a stockbroker formerly associated with Edward Jones has been referenced in a customer initiated investment related arbitration claim in which the customer requested $228,515.38 in damages supported by allegations that (1) fiduciary duties which had been owed to the customer were breached (2)…
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…
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…
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…
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…
Jon Timothy Vanslooten of Toledo Ohio a stockbroker registered with Edward Jones is the subject of a customer initiated investment related written complaint which was settled on September 10, 2018 to resolve allegations that Vanslooten placed the customer in Energy Transfer Partners LP – a direct investment which was unsuitable for the customer. FINRA Public…
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…
Danielle Jean McAniff of Albuquerque 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 findings that McAniff caused an Edward Jones representative to have customers provide signed blank forms so the firm could effect…
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…
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)…
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….
Joseph Richard Hinke of Richland Center Wisconsin is a stockbroker formerly registered with Edward Jones who was fired on August 25 2016 based upon accusations that he solicited and ultimately effected orders in a customer’s investment account after having been apprised that the customer had dementia. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that…
Matthew Kerby, of Paoli, Indiana, a stockbroker formerly registered with Edward Jones, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he failed to cooperate in a FINRA investigation into accusations that Kerby converted funds from a customer. Letter of Acceptance, Waiver and…
John Joseph Maloney III, of Morristown, Tennessee, a stockbroker formerly registered with Edward Jones, has been terminated from employment on May 10, 2016, based upon accusations that he failed to conform with the firm’s policies relating to the suitability of investment recommendations. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Maloney has been identified…
Robert Owen Kincaid of Sandpoint, Idaho, a stockbroker formerly registered with Edward Jones, is the subject of a customer initiated investment related arbitration claim, in which the customer requested $1,053,664.00 in damages based upon allegations that the customer’s assets were over-concentrated in mutual funds products. The customer additionally alleged that investment losses were caused by Edward…
Benjamin J. Herauf, of Dickinson, North Dakota, a stockbroker registered with Edward Jones, has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he forged a customer’s account documentation. Letter of Acceptance, Waiver and Consent, No. 2016052114701…
Edward Jones, a broker-dealer located in Saint Louis, Missouri, was censured and fined $725,000.00 by Financial Industry Regulatory Authority (FINRA) for the failure to supervise consolidated reports transmitted to customers regarding their accounts inside and outside of Edward Jones. Letter of Acceptance, Waiver and Consent, No. 2016049783001 (July 13, 2017). According to the AWC, an…
Mitchell G. Behm, of Denver, Colorado, a stockbroker formerly registered with Edward Jones, has been fined $10,000.00 and suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Behm, inter alia, engaged in an unauthorized borrowing arrangement with a customer of the…
Jon Timothy VanSlooten, of Toledo, Ohio, a stockbroker formerly registered with Edward Jones, has been fined $7,500.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected trades in customer accounts without authorization. Letter of Acceptance, Waiver and Consent,…
Laurence M. Rothstein, of Cumming, Georgia, a stockbroker formerly registered with Edward Jones, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized transactions in customer accounts and entered false customer account information into his firm’s records…
Rebecca L. Gillette, of Brockport, New York, a stockbroker formerly registered with Edward Jones, has been named in a customer initiated investment related written complaint on April 7, 2017, where the customer requested more than $5,000.00 in damages based upon allegations that Gillette poorly advised the customer in regard to the customer’s investment account contributions….
Anthony John Cummings, of Lutherville-Timonium, Maryland, a stockbroker formerly registered with Edward Jones, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he converted customer funds. Letter of Acceptance, Waiver and Consent, No. 2016051104901 (May 9, 2017). FINRA Public Disclosure reveals that on…
Garrett Andrew Ahrens, of Lafayette, Louisiana, a stockbroker formerly registered with LPL Financial, LLC, has been named in a customer initiated investment related written complaint on October 22, 2015, in which the customer requested damages estimated to be greater than $5,000.00 based upon allegations that Ahrens effected the unsuitable switch of policies issued by Navy…
Markos John Pappas, of Houston, Texas, a stockbroker formerly registered with Edward Jones, has been named in a customer initiated investment related written complaint on August 4, 2016, in which the customer requested $5,000.00 in damages based upon allegations that Pappas effected the unsuitable purchase of the customer’s immediate annuity issued by Mass Retiree Choice….
Robert Andrew Kahn, of Creve Coeur, Missouri, a stockbroker formerly registered with Edward Jones, was terminated from employment on September 15, 2016, based upon the firm’s allegations that Kahn committed violations of Edward Jones’ policies by engaging in discretionary trading in customer accounts, and effecting stock trades in customer accounts on an excessive basis. Financial…
Michael Jean-Paul Mason, of Millington, Tennessee, a stockbroker formerly registered with Edward Jones, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon a FINRA Office of Hearing Officers’ Default Decision containing findings that he falsified customer account documentation and failed to accurately inform his firm…
Jason Edward Seurer, of Milbank, South Dakota, a stockbroker formerly registered with Edward Jones, has been penalized $7,500.00 and suspended for eighteen months by The State of South Dakota Division of Securities based upon Seurer consenting to findings that he sold away from his firm via his promissory note investment transactions. (Jan. 19, 2017). Previously,…
Charles Harvey Kuhtz III, of Hartland, Wisconsin, a financial advisor for Edward Jones, has been named in a customer initiated investment related written complaint on January 18, 2017, in which the customer requested $5,000.00 in damages based upon allegations that Kuhtz made misrepresentations to the customer regarding a Hartford Protector Variable Universal Life policy. Kuhtz’s…
Edward Jones, a broker-dealer headquartered in Saint Louis, Missouri, was censured and fined $125,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm overcharged customers pertaining to the interest rates on customers’ loans. Letter of Acceptance, Waiver and Consent, No. 2016048760501 (Feb. 1, 2017). According to the AWC, in January…
George Stefanou, of Orlando, Florida, a stockbroker currently registered with Edward Jones, has been subject to a customer initiated investment related arbitration claim on February 24, 2015, which settled for $50,000.00 in damages. The customer’s claim was based upon allegations that Stefanou made an unsuitable investment recommendation concerning the transfer of the customer’s 457(b) and…
Anthony C. Gray of Baton Rouge, Louisiana, a stockbroker with Edward Jones, was permanently barred in all capacities from associating with any Financial Industry Regulatory Authority (FINRA) member firm in all capacities after consenting to findings that he had misappropriated nearly $138,000 from two elderly customers. Letter of Acceptance, Waiver and Consent, No. 2015047279101 (Oct….
Adam Robert Bollinger from Chandler, Arizona, a former general securities representative with Edward Jones, was permanently barred from association with any FINRA member firm in any capacity after consenting to FINRA findings that Bollinger converted $17,525 from 7 individuals (6 of whom were his firm customers). FINRA Letter of Acceptance, Waiver, and Consent, No. 2015044164801…
Edward Jones, a FINRA member brokerage firm and SEC investment advisor headquartered in St. Louis, MO, settled with the SEC for north of $20M after the firm was alleged by the SEC to have overcharged customers within their municipal bond business along with failing to supervise the review of municipal bonds trading in the secondary…
Scott B. Hostutler, formerly a broker with Edward Jones, was suspended for 10 days by the Financial Industry Regulatory Authority (FINRA) for trading in a customer’s account without authorization. Hostutler was fined $5,000 in addition to his suspension from association with any FINRA member in any capacity. The sanctions were set out in a Letter…
A former Edward Jones administrator has been permanently barred from the financial industry after misappropriating a total of $63,000 from 21 customers. According to a default decision issued by the Financial Industry Regulatory Authority (FINRA) on Feb. 15, Carolyn Avia Harmon misappropriated $63,000 in customer funds between November 2006 and September 2009. She also failed…