Articles Tagged with Edward Jones

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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 one disclosable event. These events include one customer complaint, 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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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Landon (Landon), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Landon 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 $55,079.23 on August 12, 2020.

Client alleges that the Financial Advisor incorrectly informed the client that they could take money out of an inherited IRA to purchase house and then replace said funds w/in 60 days w/o tax consequence causing significant tax bill.

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

FINRA BrokerCheck shows a settled customer complaint on December 29, 2020.

The clients allege money with taken out of an account that they did not want moved and want the money reinvested. The clients also request an accounting of the gains and losses.

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

FINRA BrokerCheck shows a final customer complaint on January 19, 2021.

Without admitting or denying the findings, San Nicolas consented to the sanction and to the entry of findings that he refused to provide information and documents that were requested by FINRA in connection with an investigation into the circumstances giving rise to his termination from his former member firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ty Buckelew (Buckelew), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Buckelew 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 $700,000.00 on February 08, 2023.

Unsuitable investment recommendations not consist with risk profile resulting in a lost a substantial amount of capital.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Rodriguez (Rodriguez), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 $14,000.00 on January 15, 2026.

Authorized party for client HOA entity alleges that Financial Advisor placed HOA in unsuitable investment, a 20 year bond, despite being aware that HOA would have continuous short term liquidity need.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Vappie (Vappie), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Vappie 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 $2,100,000.00 on January 26, 2026.

Customer alleges registered representative conducted an unapproved outside transaction. Activity dates 02/17/23 through 08/08/25.

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

FINRA BrokerCheck shows a pending customer complaint on January 26, 2026.

Claimant asserts various claims regarding the recommendation to purchase a variable annuity and whole life insurance policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Long (Long), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Long 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 February 20, 2026.

The customer alleges that the former registered representative arranged a hard-money loan between the customer and a third party outside the Firm. The customer asserts that the loan has not been repaid and believes that the former registered representative and the third party May have acted together to defraud him of the loan proceeds.

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

FINRA BrokerCheck shows a settled customer complaint on September 02, 2020.

The customer alleges failure to follow instructions in  October 2019.

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