Finra bars former Edward Jones broker for no-show at hearing on client gifts

Edward Jones fired James V. Marino for allegedly taking $25,000 from client

Aug 7, 2017 @ 12:13 pm

By InvestmentNews

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The Financial Industry Regulatory Authority Inc. has barred former Edward Jones broker James V. Marino for failing to appear at a hearing about allegations related to his acceptance of gifts and use of a client's credit card for his own benefit.

(More: Edward Jones broker terminated over client gift is barred by Finra)

Mr. Marino, who worked at the firm's Pompano Beach, Fla., office, was fired by the firm last November for "accepting gifts totaling approximately $20,500 from a client and using the same client's credit card ... for his personal benefit in the amount of approximately $6,700," according to a letter of acceptance, waiver and consent made public by Finra.

Mr. Marino accepted the Finra bar. He had not been registered before joining Edward Jones in 2013.

(More: Edward Jones fined $750,000 over account aggregation violations)

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