Edward Jones investigation Archives - Rex Securities Law-BLOG

ER
June 27, 2023
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 27, 2023 June 27, 2023

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…

ER
June 21, 2023
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 21, 2023 June 21, 2023

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…

Rex Securities Law
November 9, 2021
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 9, 2021 November 9, 2021

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,…

ER
November 1, 2021
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Matthew Jennings- Former Edward Jones Broker- Permanently Barred from FINRA- Johnston, IA

Matthew Jennings- Former Edward Jones Broker- Permanently Barred from FINRA- Johnston, IA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g November 1, 2021 November 1, 2021

Matthew 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…

Rex Securities Law
May 20, 2020
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Jason Hudson-Edward Jones Broker-Discloses Customer Dispute-Amarillo, TX

Jason Hudson-Edward Jones Broker-Discloses Customer Dispute-Amarillo, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 20, 2020 May 20, 2020

May 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…

Rex Securities Law
April 21, 2018
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David Lancaster-Former Edward Jones Broker-Subject of Investigation for Unauthorized Trading-Wagoner, OK

David Lancaster-Former Edward Jones Broker-Subject of Investigation for Unauthorized Trading-Wagoner, OK http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 21, 2018 July 24, 2019

July 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…

Rex Securities Law
February 10, 2018
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Danielle McAniff-Former Edward Jones Broker-Discloses Regulatory Sanction-Albuquerque, N. Mexico

Danielle McAniff-Former Edward Jones Broker-Discloses Regulatory Sanction-Albuquerque, N. Mexico http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 10, 2018 February 10, 2018

February 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…

Rex Securities Law
April 28, 2017
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Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX

Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 28, 2017 April 28, 2017

April 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…

Rex Securities Law
April 3, 2017
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Austin W. Morton-Former Edward Jones Broker-Named in Theft Complaint-Sallisaw, OK

Austin W. Morton-Former Edward Jones Broker-Named in Theft Complaint-Sallisaw, OK http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 3, 2017 April 3, 2017

March 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…