Edward Jones problem Archives

Robert Rex, Esq.
June 17, 2016

Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas

Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 17, 2016 June 17, 2016

UPDATED JULY 2018 Lumberton/Beaumont , Texas According to FINRA records, Wesley “Clint” Smith , a stockbroker who formerly worked for Edward Jones discloses a pending customer dispute, 7 prior customer disputes and one final…

Robert Rex, Esq.
March 15, 2016

Beth E. Dutoit, Edward Jones/United Planners Broker Sanctioned for Forgery-Norman, Oklahoma

Beth E. Dutoit, Edward Jones/United Planners Broker Sanctioned for Forgery-Norman, Oklahoma https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 15, 2016 March 15, 2016

Norman, OK MAY 2017 UPDATE-In January 2017 Beth E. Dutoit was suspended for three months by FINRA and fined $5,000 to resolve allegations that she had customers sign blank forms…

Robert Rex, Esq.
February 15, 2016

James Hilty-Edward Jones Broker Sanctioned for Unauthorized Trading- Ocala, FL

James Hilty-Edward Jones Broker Sanctioned for Unauthorized Trading- Ocala, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 15, 2016 February 15, 2016

January 29, 2016- Ocala, FL James P. Hilty, Jr. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was…

Robert Rex, Esq.
October 23, 2015

Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, TX

Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 23, 2015 October 23, 2015

Richardson, Texas UPDATE APRIL 2017–Jetmir Ahmeti is not currently registered with any broker dealer according to FINRA records. Ahmeti was discharged from Edward Jones 5/2015. The firm made the following allegation…

Robert Rex, Esq.
August 13, 2015

Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges

Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 13, 2015 August 13, 2015

August 13, 2015-Washington DC The Securities and Exchange Commission (SEC) announced that Edward Jones, a brokerage firm headquartered in St. Louis, and Stina R. Wishman, the former head of its…