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August 27, 2024
SEC Fines Ameriprise, LPL Financial, Raymond James & Others $394 Million for Improper Texting, Off-Channel Communications
November 16, 2023
Jilena Mok of Edward Jones Sanctioned for Unauthorized Discretionary Trades
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
