Tag Archives: Mark Stewart Saunders

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 Stockbroker Sanctioned For Unauthorized Trading

June 19, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Mark Stewart Saunders, of Monroe City, Missouri, a stockbroker currently 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 he exercised discretion in customer accounts. Letter of Acceptance, Waiver and Consent, No. 2016048658302 (June 9, 2017). […]

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