Customers Raise Allegations Of Edward Jones Broker Misconduct Edward Jones – an investment adviser firm and brokerage firm regulated by both Financial Industry Regulatory Authority (“FINRA”) and Securities Exchange Commission (“SEC”) disclosed on its FINRA BrokerCheck Profile that on 71 occasions, the firm has been on the receiving end of a regulatory action for allegedly […]

Wells Fargo Clearing Services Brokers Face Troubling Allegations Wells Fargo Clearing Services, LLC (CRD#: 19616) is a Financial Industry Regulatory Authority (“FINRA”) regulated brokerage firm and (“SEC”) regulated investment adviser firm. Wells Fargo’s main offices are in St. Louis, Missouri. Wells Fargo has accrued 449 discloses regarding its infractions in the securities industry. 159 of […]

RBC Capital Markets Facing Customer Claims Of Misrepresentation Terry Parker Rider (CRD#: 2724817, Houston, Texas), who worked for RBC Capital Markets, LLC, from July 13, 2005 to April 5, 2017, reported that customers have complained about his sales practices. According to Rider’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report, his sales practices have been called […]

Wells Fargo Sued For Misappropriation and Unsuitable Recommendations Jeffrey Scott Thompson (CRD#: 4602601, Lakeland, Florida) has been a Wells Fargo Clearing Services LLC registered representative between November 6, 2013 and June 1, 2017. Wells Fargo Advisors disclosed on Thompson’s FINRA BrokerCheck file that Thompson’s activities in the customer’s account between January 29, 2016 and August […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Jeffrey Scott Donner (CRD #2631248, Registered Principal, Weston, Florida)   was barred from association with any FINRA member in any capacity. The sanction was based on findings that Donner executed several unauthorized transactions in customers’ accounts at his member firm without their […]