According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Winslow (Winslow), previously associated with Edward Jones, has at least one disclosable event. These events include one regulatory event, alleging that Winslow recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on March 14, 2025.
The Securities and Exchange Commission (‘Commission’) deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted against John S. Winslow (‘Respondent’). In anticipation of the institution of these proceedings, Respondent has submitted an Offer of Settlement which the Commission has determined to accept. The commission finds that On December 6, 2022, a final judgment was entered by consent against Respondent, ordering him to cease and desist from violating RCW 21.20.010, the anti-fraud section of the Securities Act of Washington, as set forth in the judgment entered in the administrative action entitled In the Matter of Determining Whether There Has Been a Violation of the Securities Act of Washington by John Scott Winslow, Order Number S-21-3243-22-CO02 (the ‘Washington Order’) by the State of Washington Department of Financial Institutions, Securities Division. The Washington Order found that from 2013 to 2021, Winslow was a securities salesperson and investment adviser representative for a retired senior citizen (the ‘Client’). It further found that between 2017 and 2020, the Client transferred more than $550,000 to Winslow’s personal bank account and to one of his personal businesses after Winslow told the Client that he needed money to buy a house and that he would repay the Client more than she made on her Edward Jones investments. The Washington Order found that Winslow did not provide the Client with a written agreement for the alleged loan and that Winslow did not repay the Client. The Washington Order also found that Winslow liquidated annuities that were held by the Client and caused the Client to incur nearly $4,000 in surrender charges, and that a resulting $370,000 was paid out of the Client’s account to purchase gold coins through an online account using Winslow’s email address, $360,000 of which were shipped to Winslow’s post office box. Further, the Washington Order found that in connection with the sale of securities in the Client’s accounts, Winslow made false and misleading statements in the Client’s account records regarding certain of the transactions. The Washington Order barred Winslow from making an application for or being granted a broker-dealer, securities salesperson, investment adviser, and/or investment adviser representative license, based on its finding that Winslow had violated RCW 21.20.010, the antifraud section of the Securities Act of Washington, by employing a device, scheme, or artifice to defraud; making an untrue statement of a material fact or omitting to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; or engaging in an act, practice, or course of business which operated or would operate as a fraud or deceit upon another person.
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