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,…
read moreMatthew T. Jennings Investigation August 2021- St. Louis, MO According to publicly available records, Matthew Thomas Jennings a broker previously employed with Edward Jones discloses a prior regulatory event, a termination…
read moreMay 2020-Amarillo, TX According to publicly available records Jason D. Hudson (CRD#6411443) , a stockbroker with Edward Jones discloses a customer dispute which alleges undue influence. The Financial Industry Regulatory Authority…
read moreMay 2019- Morristown/Johnson City , Tennessee The FINRA records of John J. Maloney III (Jack Maloney) , a stock broker who is employed by Woodbury Financial Services , disclose a pending customer dispute, 4 prior…
read moreJuly 2019 -Wagoner, OK According to FINRA records, William David Lancaster , a stockbroker who formerly was employed by Edward Jones, disclose a prior regulatory investigation, a prior customer dispute, a and…
read moreSeptember 2019-Murrieta, CA According to publicly available records Matthew J. Werthe, a stockbroker who is not currently registered and who was last employed by Raymond James Financial Services , disclose…
read moreFebruary 2018-Albuquerque, New Mexico The FINRA records of Danielle Jean McAniff, a broker currently employed by NEXT Financial Group, disclose that she was recently suspended for two months and fined…
read moreApril 2017-Dallas, Texas The FINRA records of Marcos Yanez , a former stockbroker with LPL Financial who is currently not registered with any brokerage firm disclose a pending customer dispute. The…
read moreMarch 2017-Sallisaw, OK According to publicly available records Austin W. Morton , (CRD# 5538108) , a currently unregistered stockbroker who previously worked for Edward Jones disclose a pending regulatory matter, a pending customer dispute and…
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