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edward jones complaint

Shane D. Ireland-Former Edward Jones Broker-Discloses Termination From Employment-Stuart-FL

Shane D. Ireland-Former Edward Jones Broker-Discloses Termination From Employment-Stuart-FL 150 150 Rex Securities Law

Stuart, Florida According to publicly available records Shane David Ireland  , (CRD# 5891934) ,  a   currently unregistered stockbroker who last worked for Ameriprise Financial Services,  discloses  a termination from employment. The Financial Industry Regulatory…

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Larry Stohs-Former Edward Jones Broker-Discloses Termination

Larry Stohs-Former Edward Jones Broker-Discloses Termination 150 150 Rex Securities Law

January 2017-Columbia, South Carolina The FINRA records of  Larry A. Stohs,  a  former stockbroker with Edward Jones disclose a termination from employment and two prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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George Sefanou-Edward Jones Broker-Discloses Settlement of Customer Dispute

George Sefanou-Edward Jones Broker-Discloses Settlement of Customer Dispute 150 150 Rex Securities Law

August  2016-Orlando / The Villages, Florida The FINRA records of George Sefanou ,  a  stock broker who is currently employed by Edward Jones  , disclose a recently settled customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas

Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas 150 150 Rex Securities Law

UPDATED JULY 2018 Lumberton/Beaumont , Texas According to FINRA records,  Wesley “Clint” Smith ,  a stockbroker  who formerly worked  for Edward Jones discloses  a pending customer dispute, 7 prior customer disputes and one final…

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Beth E. Dutoit, Edward Jones/United Planners Broker Sanctioned for Forgery-Norman, Oklahoma

Beth E. Dutoit, Edward Jones/United Planners Broker Sanctioned for Forgery-Norman, Oklahoma 150 150 Rex Securities Law

Norman, OK MAY 2017 UPDATE-In January 2017 Beth E. Dutoit was suspended for three months by FINRA and fined $5,000 to resolve allegations that she had customers sign blank forms…

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Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, TX

Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, TX 150 150 Rex Securities Law

Richardson, Texas UPDATE APRIL 2017–Jetmir Ahmeti is not currently registered with any broker dealer according to FINRA records.  Ahmeti was discharged from Edward Jones 5/2015. The firm made the following allegation…

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Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges

Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges 150 150 Rex Securities Law

August 13, 2015-Washington DC The Securities and Exchange Commission (SEC) announced that Edward Jones, a brokerage firm headquartered in St. Louis, and Stina R. Wishman, the former head of its…

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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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