Last Updated: February 2025 (Tualatin, OR)
Gwendolyn Hayes Investigation Summary
Here’s what you need to know about Tualatin, OR, stockbroker Gwendolyn Hayes:
- Name: Ms. Gwendolyn Janice Hayes
- Current Employer: Barred from acting as a broker by FINRA
- Prior Employers:
- Ameriprise Financial Services, LLC (2024)
- Edward Jones (2010 – 2024)
- Function: Stockbroker / Financial Advisor
- Alias: Gwendolyn Burger, Gwendolyn Dooley, Gwendolyn Janice Hayes, Gwendolyn Janice Miller
- Primary Location: Tualatin, OR
- CRD#: 5125590
- Can Gwendolyn Hayes be sued in FINRA arbitration? Yes
- Sanctioned by FINRA: Yes (Permanent Bar)
- Employment Termination: Discharged from Edward Jones in April 2024
If you’ve sustained damages from Ms. Hayes, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Gwendolyn Hayes As Your Stockbroker?
On January 17, 2025, FINRA barred Gwendolyn Hayes from the securities industry for refusing to provide information requested during an examination into potential misconduct while employed at Edward Jones. The allegations against Hayes include:
- Changing customers’ investment objectives without consent
- Mismarking transactions as unsolicited
- Accepting trading instructions from unauthorized individuals
The regulatory case (Docket No. 2024082079701) resulted in a permanent bar from acting as a broker within the securities industry.
Hayes was discharged from Edward Jones on April 5, 2024, after allegations surfaced that she failed to follow the firm’s policies related to fictitious or misleading account information and advisory review requirements.
Allegations of Broker Misconduct Against Gwendolyn Hayes
Customers and regulators have raised concerns about the following misconduct by Gwendolyn Hayes:
- Unauthorized Account Changes – Allegedly altered clients’ investment objectives without their knowledge, violating FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade).
- Mismarked Transactions – Reportedly misrepresented trades as unsolicited, potentially misleading clients and violating FINRA Rule 4511 (Books and Records Requirements).
- Unauthorized Trading Instructions – Accepted instructions from individuals not authorized to trade on behalf of the account holders, a violation of FINRA Rule 3260 (Discretionary Accounts and Unauthorized Transactions).
- Failure to Provide Information to FINRA – Hayes refused to cooperate with FINRA’s investigation, leading to a permanent industry bar under FINRA Rule 8210 (Provision of Information and Testimony).
The Financial Industry Regulatory Authority (FINRA) is responsible for regulating stockbrokers and brokerage firms. Brokers must report customer complaints, disputes, and regulatory sanctions. Additionally, they must disclose financial matters such as personal bankruptcies, judgments, and liens.
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of Other Edward Jones brokers
If you have suffered investment losses in an account handled by Gwendolyn Hayes, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.