Displaying 151 results
Finra suspends, fines broker for posting fake sex ads
Paul Betenbaugh admitted to impersonating a former Edward Jones colleague on Craigslist to disparage the competitor.
Finra, investigating misuse of funds, bars former Edward Jones rep
Matthew Kerby declined to participate in hearing looking into allegations.
Finra panel awards Edward Jones $340,000 in estate dispute
Arbitration puts blame on client's power of attorney, not firm
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.
Edward Jones broker terminated over client gift is barred by Finra
Regulator says Ralph Villanueva Villavicencio failed to provide testimony for its investigation.
Edward Jones fined $750,000 over account aggregation violations
Finra says firm did not have adequate procedures to track consolidated reports to clients.
Edward Jones is winning the Google search war
Brokerage firm's digital marketing investment helps land it at the top of local and overall search engine results, report finds.
DOL fiduciary rule: Edward Jones changing stance on mutual fund commissions in IRAs
The brokerage cites "additional flexibility" granted by the DOL in recent guidance as a determining factor.
Brokerage firms hunt for fintech in early-stage development
Edward Jones and Wells Fargo invest in tech start-ups to find technology before competitors.
DOL fiduciary rule pushing broker-dealer assets to fee-based accounts, away from commissions
Some large brokerages such as Morgan Stanley, Edward Jones and Raymond James have seen a surge in advisory assets a year on from promulgation of the retirement regulation.
Sen. Elizabeth Warren challenges financial firms to resist efforts to delay DOL fiduciary rule
Letter to 33 companies asks six questions, including whether they support the delay or would reverse course on changes already implemented if a delay occurs.
Two Wells Fargo advisers and one from Edward Jones join Raymond James affiliate Steward Partners
Carl Gravina and Liana Poodiack managed $450 million of client assets at Wells Fargo, and Joshua Houle managed $50 million at Edward Jones
Ed Jones adviser predicted Trump’s electoral vote tally — two weeks before the election
Broker won Wall Street Journal contest with his estimate of 306 votes for the Donald.
Edward Jones hit with second lawsuit over excessive 401(k) fees
Allegations in the lawsuit largely resemble those of a separate one filed in August this year.
Edward Jones faces proposed class action lawsuit over excessive 401(k) fees
The lawsuit continues a barrage of litigation filed in recent weeks related to fiduciary breaches in retirement plans.
Edward Jones’ success may lead to trouble
With regulators cracking heads over sales of proprietary products, could the overwhelming success of Edward Jones' Bridge Builder program be a problem?
Edward Jones’ proprietary funds are outselling nearly all active managers
Firm has raised $8.1 billion for its seven Bridge Builder funds this year as it moves money from its fee-based platform.
Edward Jones: Stick to the classic bond flavors when rates rise
While alts have risen in popularity as a way to hedge Fed action, their usefulness is overstated, says strategist
Edward Jones to pay $20 million for bond overcharges
The Securities and Exchange Commission says the firm overcharged retail clients by at least $4.6 million on new municipal bond sales.
Edward Jones continues push into proprietary funds
Brokerage giant is expanding its lineup of proprietary mutual funds for its 12,000 brokers and financial advisers a year and a half after the firm launched its first fund.
