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edward jones litigation

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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Matthew Jennings- Former Edward Jones Broker- Permanently Barred from FINRA- Johnston, IA

Matthew Jennings- Former Edward Jones Broker- Permanently Barred from FINRA- Johnston, IA 150 150 ER

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…

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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 150 150 Rex Securities Law

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…

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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 150 150 Rex Securities Law

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…

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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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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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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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