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Edward Jones

January 17, 2019 Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents
April 15, 2022 Edward Jones Broker John Winslow (Gig Harbor, WA) Barred After Client's $893,000 Theft Accusation
January 31, 2021 Broker San Nicolas Barred Over Recommendation to Purchase Las Vegas Raiders Seats
January 19, 2018 FINRA Bars Matthew Kerby After Allegations He Converted Elderly Client's Funds for Personal Use
June 30, 2017 Mitchell Behm Sanctioned for Unauthorized $180,000 Loan, Failure to Disclose Prior Bankruptcy
August 10, 2016 Ciro "Nick" Cavazos Fined, Suspended for Unauthorized, Undisclosed Loan; Accused of Fraud & Financial Elder Abuse
June 29, 2016 Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend
June 20, 2016 Kory Keath Named in Complaint Over Elderly Client's Trust Oddities, Unreported Gift
October 29, 2015 FINRA Orders 5 Firms to Pay $18 Million in Restitution for Overcharged Mutual Funds
March 13, 2015 With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz
March 05, 2015 Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds
January 16, 2014 Edward D. Jones Fined $200K + $52,000 in Restitution for Improper ETF Sales