Edward D. Jones & Co., L.P. dba Edward Jones (CRD #250, St. Louis, Missouri)   was censured, fined $55,000 and ordered to pay $13,231.52, plus interest, in restitution to customers. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that in corporate fixed income […]

The following information is from FINRA’s website under “Disciplinary Actions, April, 2012:”   Banc of America Investment Services, Inc. dba Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, New York, New York)  submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $55,000. The firm has already paid […]