Articles Tagged with Edward Jones

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jarrod Bulleit (Bulleit), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bulleit 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 $23,451.00 on April 22, 2026.

Attorney representing the client alleges the client took distributions from her Roth IRA which resulted in an unanticipated tax bill. Attorney alleges the FA failed to advise her of the tax implications of the withdrawals.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Lothspeich (Lothspeich), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Lothspeich 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 $400,000.00 on April 24, 2026.

Client alleges that Financial Advisor account management and recommended investment were not in the client’s best interest as they have caused losses that will prevent him from retiring for 4-5 additional years.

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

FINRA BrokerCheck shows a settled customer complaint on November 24, 2025.

The client alleges the financial advisor failed to follow instructions and liquidated assets instead of transferring in-kind as requested.

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2026.

Client alleges that the Registered Representative failed to conduct due diligence in connection with Know Your Customer.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mayer (Mayer), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mayer 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 $10,000.00 on April 08, 2026.

Client alleges Chevron and Exxon were sold without their knowledge or permission.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Verma Satterfield (Satterfield), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Satterfield 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 $7,500.00 on March 03, 2026.

Client alleges their financial advisor misrepresented the features of a US Treasury Bond.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Lentz (Lentz), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Lentz 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 $20,000.00 on March 20, 2026.

Client alleges assets in IRA accounts were supposed to be moved into fixed income.

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

FINRA BrokerCheck shows a pending customer complaint on March 29, 2026.

The client alleges unauthorized liquidation of closed fund Fidelity Advisor Defense and Aerospace Fund that has triggered a capital gain.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonas Roddenberry (Roddenberry), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Roddenberry 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 $10,000.00 on April 02, 2026.

The client alleges they were told there would be minimal tax implications in the selling Broadcom stock. After the sale, the client discovered it triggered a significant repayment of Marketplace health insurance subsidies.

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

FINRA BrokerCheck shows a pending customer complaint on April 01, 2026.

The custodian alleges unauthorized distributions in three 529 college accounts starting in 2023.

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