Articles Tagged with Edward Jones

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Bowman (Bowman), previously associated with Edward Jones, has at least one disclosable event. These events include one tax lien, alleging that Bowman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 06, 2025.

Without admitting or denying the findings, Bowman consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he personally reimbursed his customers for losses and fees in their accounts.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Baker (Baker), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Baker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $4,613.10 on September 05, 2024.

Client alleges Financial Advisor sold stocks without authorization .

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emma Mcauley (Mcauley), previously associated with Edward Jones, has at least one disclosable event. These events include one tax lien, alleging that Mcauley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 25, 2024.

Respondent McAuley failed to respond to FINRA requests for information.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Nelson (Nelson), previously associated with Edward Jones, has at least one disclosable event. These events include one tax lien, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 24, 2024.

Respondent Nelson failed to respond to FINRA requests for information.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Raverty (Raverty), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Raverty recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $526,510.05 on October 01, 2024.

Trustee of revocable trust alleges that Edward Jones improperly followed former trustee’s instructions to transfer funds from the trust to a brokerage account in her individual name without authorization or consent.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lancaster (Lancaster), previously associated with Edward Jones, has at least one disclosable event. These events include one tax lien, alleging that Lancaster recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 09, 2024.

Without admitting or denying the findings, Lancaster consented to the sanction and to the entry of findings that he refused to produce written information and documents requested by FINRA in connection with its investigation surrounding his termination from his member firm. The findings stated that this matter originated from FINRA’s review of a Form U5 filed by Lancaster’s firm stating that he was discharged due to concerns he did not adhere to the firm’s complaints policy.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Bjerke (Bjerke), currently associated with Edward Jones, has at least one disclosable event. These events include one tax lien, alleging that Bjerke recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 29, 2025.

Bjerke executed a transaction on behalf of M.G.E. Without authorization when he liquidated M.G.E. ‘s assets without her knowledge or consent. Bjerke executed a transaction on behalf of M.G.E. Without authorization by purchasing\<char_lb_r>\, shares in two mutual funds without her knowledge or consent.Bjerke’s acts and practices violated Iowa Code\\u00a7 502.412(4)(m) and Iowa Administrative\<char_lb_r>\, Rule 191-50.16(1)(d) subjecting Bjerke to revocation, suspension, condition, or limit Bjerke’s\<char_lb_r>\, registration, the imposition of a civil penalty, an order requiring Bjerke to cease and desist from\<char_lb_r>\, engaging in such acts and practices, an order of restitution, the imposition of costs of the\<char_lb_r>\, investigation and prosecution of the matter, and any other corrective action the Commissioner deems necessa1y and appropriate pursuant to Iowa Code\\u00a7 502.412.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Marino (Marino), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Marino recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 03, 2025.

Client alleges financial advisor failed to advise of tax consequences of recommendation before liquidating their Microsoft stock position.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Demetriades (Demetriades), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Demetriades recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 24, 2024.

Claimant alleges misrepresentations in connection with the sale of an annuity with a guaranteed income rider.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guy Steele (Steele), currently associated with Edward Jones, has at least one disclosable event. These events include one tax lien, alleging that Steele recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 28, 2024.

Rendered investment advice, from a location within Florida, without being registered by the Office.

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