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Edward Jones

Michael Lynn Melton-Edward Jones Broker-Discloses Customer Dispute Over Transfer of Estate Assets- Troy, IL

Michael Lynn Melton-Edward Jones Broker-Discloses Customer Dispute Over Transfer of Estate Assets- Troy, IL 150 150 ER

Michael Melton Investigation June 2023-Troy, IL According to publicly available records Michael Lynn Melton an Edward Jones broker, discloses  a pending customer dispute.  The Financial Industry Regulatory Authority (FINRA) is the agency…

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Scott Paul Smith-Former J.W. Cole Financial Advisor-Discloses Regulatory Event, Customer Dispute and a Termination from Employment- Huntington Beach, CA

Scott Paul Smith-Former J.W. Cole Financial Advisor-Discloses Regulatory Event, Customer Dispute and a Termination from Employment- Huntington Beach, CA 150 150 ER

Scott Paul Smith Investigation June 2023– Huntington Beach, CA According to publicly available records, Scott Paul Smith, a currently unregistered broker who last worked for  J.W. Cole Financial,  discloses a final…

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Stephen Wenske- Former Edward Jones Broker- Discloses a Regulatory Event and a Termination from Employment-Houston, TX

Stephen Wenske- Former Edward Jones Broker- Discloses a Regulatory Event and a Termination from Employment-Houston, TX 150 150 ER

Stephen Wenske Investigation March  2023- Roanoke, TX According to publicly available records Stephen Wenske, a broker who last worked for Edward Jones,  discloses a final regulatory event that resulted in his…

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Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX

Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX 150 150 ER

Jon Scheier Investigation July 2022-Denison , TX  According to publicly available records Jon Scheier , a former broker who last worked for Edward Jones,  discloses a final regulatory matter resulting in a…

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Ronald Molo-Former Edward Jones Broker- Barred from Industry -Accused of Theft-Joliet, IL

Ronald Molo-Former Edward Jones Broker- Barred from Industry -Accused of Theft-Joliet, IL 150 150 ER

Ronald Molo Investigation March 2022-Joliet, IL The FINRA records of Ronald T. Molo, a broker who formerly worked for Edward Jones,  disclose 2 regulatory events, a civil suit, 5 prior…

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Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK

Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK 150 150 Rex Securities Law

Curt Howard Investigation November 2021-Sapulpa, OK According to publicly available records Curtis Lee Howard ,  a   stockbroker who formerly worked for Edward Jones and who  is currently registered with Level Four Financial,…

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Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL

Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL 150 150 ER

August 2021 – Tampa, FL  According to publicly available records , Clyde Anthony Jensen, a former broker  with TD Private Client Wealth and Ameriprise disclose a pending regulatory event involving being named as…

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Spenser Sullivant- Former Waddell & Reed Broker-Suspended for 18 Months -St. Louis, MO

Spenser Sullivant- Former Waddell & Reed Broker-Suspended for 18 Months -St. Louis, MO 150 150 Rex Securities Law

December 2020-St. Louis, MO According to publicly available records of Spenser William Sullivant (CRD#6524062) ,  a  former stockbroker who is currently unregistered who worked for Waddell & Reed,  discloses a regulatory…

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Craig A. Foreman-Edward Jones Broker-Discloses Pending Customer Dispute-Odessa, TX

Craig A. Foreman-Edward Jones Broker-Discloses Pending Customer Dispute-Odessa, TX 150 150 Rex Securities Law

June 2020 -Odessa, TX The FINRA records of Craig Alan Foreman  , a stockbroker registered with Edward Jones disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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