Edward Jones problem

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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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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