The Financial Industry Regulatory Authority (FINRA) barred securities broker John Scott Winslow [CRD #: 3071933, Gig Harbor, WA]. Winslow worked for Edward Jones from 2013-2021; Union Banc Investment Services LLC from 2011-2013; and Key Investment Services LLC from 2006-2011.
Evidently, one or more investors also disputed the sales practices of the securities broker. However, Winslow denies the allegations of sales practice violations. Read on to learn more about the allegations against Winslow.
Specifically, FINRA says that on January 26, 2022, Winslow’s former employer, Edward Jones, filed a Form U5 indicating that a client of Winslow’s accused him of failing to return any of the funds that were transferred to him and that Winslow continues to refuse to do so.
In connection with FINRA’s investigation into the allegations put forth in the Form U5, FINRA sent a request to Winslow for the production of documents and information. Through his attorney, Winslow indicated that he received FINRA’s request and will not produce the requested information and documents. As a result of his refusal, Winslow violated FINRA Rules 2010 and 8210.
Also, an Edward Jones client filed FINRA Arbitration #: 21-03022 about John Winslow. Specifically, the client alleged that Winslow misused the client's funds. For this reason, the client purportedly experienced damages pertaining to investments in variable annuities, stocks, and mutual funds. Therefore, on March 24, 2022, Edward Jones settled this matter by paying the client $972,389.
Have you experienced damages because of investing through securities broker John Winslow? If the answer is yes, reach out to Soreide Law Group at (888) 760-6552 and talk with a securities lawyer regarding a possible recovery of your investment damages. Soreide Law Group, who has successfully recovered money for investors throughout all 50 states, represents clients on a contingency fee basis and advances all costs. Winslow and brokerage firms Winslow associated with deny any and all allegations of sales practice violations.
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