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Recent Posts in Edward Jones Category

Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents

FINRA fined and suspended former Edward Jones and Waddell & Reed broker Donald Logan for exercising 365 discretionary trades in 42 customer accounts from 2014 through 2018, all without ...
Continue reading "Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents" »

FINRA Bars Matthew Kerby After Allegations He Converted Elderly Client's Funds for Personal Use

Two months after Edward Jones discharged broker Matthew Donald Kerby for misusing client funds for his own benefit, FINRA permanently barred Kerby from the financial industry for refusing to cooperate ...
Continue reading "FINRA Bars Matthew Kerby After Allegations He Converted Elderly Client's Funds for Personal Use" »

Mitchell Behm Sanctioned for Unauthorized $180,000 Loan, Failure to Disclose Prior Bankruptcy

FINRA fined and suspended former Edward Jones and Raymond James Financial Services broker Mitchell Glenn Behm of Colorado for taking a $180,000 loan from an elderly customer at the firm in order to ...
Continue reading "Mitchell Behm Sanctioned for Unauthorized $180,000 Loan, Failure to Disclose Prior Bankruptcy" »

Mauneel Desai Sanctioned for Opening New Accounts with Fake Information and Without Permission

FINRA fined and suspended Mauneel Desai, formerly of Edward Jones in Irvine, California, for creating new accounts using fake information for customers who had not agreed to open accounts with the ...
Continue reading "Mauneel Desai Sanctioned for Opening New Accounts with Fake Information and Without Permission" »

Ciro "Nick" Cavazos Fined, Suspended for Unauthorized, Undisclosed Loan; Accused of Fraud & Financial Elder Abuse

FINRA fined, suspended, and ordered restitution of former Edward Jones (Paradise, CA) and Raymond James (Chico, CA) broker Ciro "Nick" Gilbert Cavazos for borrowing money from a client in ...
Continue reading "Ciro "Nick" Cavazos Fined, Suspended for Unauthorized, Undisclosed Loan; Accused of Fraud & Financial Elder Abuse" »

Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend

This month, the Massachusetts Securities Division sent a message to several hundred brokerages with above-average numbers of representatives with at least one misconduct report on their records: Firms ...
Continue reading "Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend" »

Kory Keath Named in Complaint Over Elderly Client's Trust Oddities, Unreported Gift

FINRA's Department of Enforcement filed a complaint against former Edward Jones adviser Kory Penland Keath of the firm's branch in Enumclaw, Washington for allegedly circumventing the ...
Continue reading "Kory Keath Named in Complaint Over Elderly Client's Trust Oddities, Unreported Gift" »

FINRA Orders 5 Firms to Pay $18 Million in Restitution for Overcharged Mutual Funds

FINRA ordered payment of over $18 million in restitution to customers overcharged for mutual fund transactions at five member firms: Edward D. Jones & Co., LP; Stifel Nicolaus & Company, Inc.; ...
Continue reading "FINRA Orders 5 Firms to Pay $18 Million in Restitution for Overcharged Mutual Funds" »

With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz

After 14 customers filed separate disputes alleging misrepresentation and falsification of statements and records in variable annuity (VA) transactions, FINRA filed a complaint against broker Anthony ...
Continue reading "With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz" »

Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds

FINRA fined, suspended and ordered former Edward Jones broker Dalas Lee Gundersen of Willows, California to pay disgorgement for ill-gotten commissions related to an unsuitable investment ...
Continue reading "Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds" »

Edward D. Jones Fined $200K + $52,000 in Restitution for Improper ETF Sales

FINRA fined Edward D. Jones & Co. LP $200,000 and ordered $52,000 in restitution to a series of customers it says were improperly sold non-traditional exchange-traded funds ("ETFs"). ...
Continue reading "Edward D. Jones Fined $200K + $52,000 in Restitution for Improper ETF Sales" »
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