WebJul 17, 2024 · The Financial Industry Regulatory Authority fined Edward Jones $725,000 over its failure to set up, keep and enforce a supervisory system of consolidated reports from 2010 to 2014—when its... WebDec 15, 2024 · The Financial Industry Regulatory Authority says it has ordered Edward Jones to pay $1.1 million for failing to produce phone records the industry self-regulator …
FINRA fines Edward Jones over muni bond statements Reuters
WebDec 16, 2024 · FINRA fines Edward Jones $1.1M Posted online December 16, 2024 7:51 am The Financial Industry Regulatory Authority fined Edward Jones to the tune of $1.1 million. The company allegedly concealed phone records, according to FINRA. FINRA is the brokerage industry’s self-regulatory organization. Read more from Barron's. More from … WebJan 2, 2024 · The Financial Industry Regulatory Authority (FINRA) has issued a $1.1 million fine to Edward Jones for allegedly mishandling phone records that FINRA was seeking. … is black panther 2 worth watching
FINRA Fines Edward Jones $200K Over Muni Interest On Short Positions
WebDec 14, 2024 · The Financial Industry Regulatory Authority Inc. Tuesday penalized Edward D. Jones & Co. with a censure and a $1.1 million fine as a result of the firm’s mishandling of phone records that Finra ... WebJun 25, 2024 · After finding that Edward D. Jones & Co failed to report the full extent of customer complaints and claimed damages from 2016-2024, FINRA censured and fined the firm $40,000, writing that Edward Jones underreported damages to customers by failing to accurately portray certain customer disputes and complaints in which clients alleged … WebDec 21, 2015 · FinPro. For Industry Professionals. Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks. is black panther a disney movie