Articles Tagged with Edward Jones

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Fylling (Fylling), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Fylling 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 $60,000.00 on October 12, 2025.

The client alleges the financial advisor in April of 2025 did not invest his funds as discussed.

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2022.

This Customer Complaint did not meet our criteria for reporting initially, its being reported now due to the Settlement.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad King (King), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that King 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 $5,000.00 on May 25, 2022.

The client alleges the financial advisor failed to follow her instructions to liquidate mutual funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Hetterscheidt (Hetterscheidt), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hetterscheidt 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 $75,000.00 on May 27, 2022.

The client alleges that the financial advisor was incorrect in stating that he could take a short term withdrawal and then return money into his inherited IRA account within 60 days without tax consequence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stewart (Stewart), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Stewart 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 $16,416.14 on May 23, 2022.

The client alleges he was not informed of the surrender penalties when he liquidated his annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dawn Nelson (Nelson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 May 31, 2022.

The client alleges the financial advisor did not inform her of the potential tax implications of transferring funds to her Edward Jones account. The clients allege the financial advisor’s recommendation to transfer the funds to the Edward Jones account, and the subsequent liquidation of Ameritrade assets and purchase of new assets in the Edward Jones account were not in her best interests. The clients allege the financial advisor and Edward Jones failed to follow instructions to minimize tax implications.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geraldine Polvino (Polvino), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Polvino 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 May 31, 2022.

The client alleges the financial advisor did not inform her of the potential tax implications of transferring funds to her Edward Jones account. The clients allege the financial advisor’s recommendation to transfer the funds to the Edward Jones account, and the subsequent liquidation of Ameritrade assets and purchase of new assets in the Edward Jones account were not in her best interests. The clients allege the financial advisor and Edward Jones failed to follow instructions to minimize tax implications.

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

FINRA BrokerCheck shows a settled customer complaint on June 13, 2022.

The client alleges that the financial advisor did not place sell limit orders on June 7, 2022 for CVX and LNG.

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

FINRA BrokerCheck shows a settled customer complaint on June 27, 2022.

Client alleges FA misrepresented the call date of two corporate bonds and promised/guaranteed the bonds would be called in June 2022 and they were not called.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cheryl Dial (Dial), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Dial 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 $32,185.62 on June 24, 2022.

Client alleges FA misrepresented the investment risk of a mutual fund which resulted in market loss to the client.

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