Tag Archives: James P. Hilty Jr.

Edward Jones Broker Suspended For Unauthorized Trading

February 24, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

James P. Hilty, Jr., from Ocala, Florida, as stockbroker for Edward Jones, was fined $5,000.00 and suspended for forty-five days from association with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in unauthorized discretionary trading. Letter of Acceptance, Waiver and Consent, No. 2014041875801 (Jan. 29, […]

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