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Edward Jones Bond Sales Issues – Fined $900,000
Edward Jones was fined $900,000 for failing to deliver official statements for a significant portion of the new issue municipal bonds it sold to ...
Read moreEdward Jones ETF Issues – Censured and Fined $200,000
Edward Jones was censured and fined $200,000 for its stockbrokers improperly recommending ETF’s (Exchange Traded Funds) to customers. Exchange Traded Funds (ETF’s) are one ...
Read moreEdward Jones Margin Issues – Fined $200,000 by Regulators
Edward Jones was fined $200,000 by regulators for encouraging stockbrokers to encourage customers to use margin loans in their accounts. Edward Jones had a ...
Read moreEdward Jones Fined $750,000 for Failures to Train Stockbrokers Doing Phone Solicitations
Edward Jones was fined $750,000 for violations of a State regulations for phone solicitations, failures to train and supervise stockbrokers making phone solicitations and ...
Read moreEdward Jones Failures to Secure Customer Account Funds
Edward Jones has several significant regulatory actions taken for failing to adequately secure accounts and have proper supervision for transfer out of accounts. Edward ...
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