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Edward Jones

Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL
Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL 150 150 Rex Securities Law

July 14, 2015-Nokomis, Florida Kelly R. Brantley  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she had received…

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Christopher Taylor-Edward Jones Broker, Montgomery, Texas – Sanctioned by Securities Regulator
Christopher Taylor-Edward Jones Broker, Montgomery, Texas – Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 20 , 2015-Montgomery, Texas  Christopher Alan Taylor   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he failed to provide…

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Daniel Retzke-Edward Jones Broker Sanctioned by Securities Regulator
Daniel Retzke-Edward Jones Broker Sanctioned by Securities Regulator 150 150 Rex Securities Law

In March 2015, Daniel Gregory Retzke   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  during the course of an investigation…

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Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues
Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues 150 150 Rex Securities Law

February 15, 2015 Edward D. Jones & Co. has been a FINRA member since 1939. Their main office is in St. Louis, Missouri, and they have over 11,000 branch offices…

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