Articles Tagged with Edward Jones

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Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Edward Jones. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.

Edward Jones is a financial services firm founded in 1922 that provides wealth management, retirement and college savings planning, investment recommendations in stocks, bonds, and mutual funds, and insurance and annuity products to individual investors. The firm serves more than 9 million clients throughout the United States and, through an affiliate, in Canada.

Edward Jones – By the Numbers:

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Slayton Harpe (Harpe), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Harpe recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on June 09, 2026.

The client alleges the advisor recommended switching and consolidating annuities without fully disclosing the impact of early withdrawal/surrender fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Hermelbracht (Hermelbracht), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hermelbracht recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 11, 2020.

The client alleges he was told trades to rebalance his account would be placed on March 9 and instead they executed on March 10, 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Strnad (Strnad), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Strnad recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $37,314.43  on March 12, 2020.

The client alleges the financial advisor failed to disclose a\<char_lb_r>\, contingent deferred sales charge associated with the liquidation\<char_lb_r>\, of mutual funds in his account on 3/9/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Blake (Blake), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Blake recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,356.59  on April 21, 2020.

The client alleges the financial advisor placed unauthorized trades.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jed Conradi (Conradi), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Conradi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $70,000.00  on April 20, 2020.

The client alleges the financial advisor misrepresented that he could get out of investments and be made whole.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Johnson (Johnson), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Johnson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $400,000.00  on April 23, 2020.

The Claimant, a living trust, alleges that the trustor was not an authorized party on the trust account the trustor opened, and therefore, the trustor was not authorized to give the financial advisor instruction to withdraw $400,000.00 from the account in early 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Denman (Denman), previously associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Denman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $52,000.00  on June 11, 2020.

Client alleges that investing $250,000.00 in a single fund (JP Morgan Income Builder Fund) was too aggressive for her risk tolerance and she lost $52,000.00 as a result.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kaley Mora (Mora), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mora recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 17, 2020.

The client alleges the FA was mistaken when she advised that the transaction requested would be complete in one day where the transaction did not complete for 2 full business days causing market loss for the additional day.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Cobb (Cobb), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cobb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $35,107.62  on June 30, 2020.

The client’s alleges that the commissions to liquidate their accounts was misrepresented and has asked for reimbursement of difference.

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