Articles Tagged with Edward Jones

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

FINRA BrokerCheck shows a settled customer complaint on September 07, 2022.

POA alleges FA failed to reallocate assets within variable annuity as instructed, resulting in market loss to the client.

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

FINRA BrokerCheck shows a settled customer complaint on September 06, 2022.

Plaintiff, as personal representative of client’s estate, asserts claims based on allegations the registered representative failed to follow instructions regarding a beneficiary designation and gave inaccurate information regarding the status of the designation.

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

FINRA BrokerCheck shows a settled customer complaint on October 12, 2022.

Client alleges he is upset with Empower, Edward Jones, and Financial Advisor in the handling of his 401k rollover as he is facing tax consequences due to the close-out of an existing loan on his 401k despite Client’s alleged clarity to all parties that he specifically wanted to avoid any tax consequences and wanted to leave his loan in place with Empower to ensure avoidance of said tax consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Gugliuzza (Gugliuzza), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Gugliuzza 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 $110,000.00 on December 13, 2022.

Claimant asserts various claims alleging Edward Jones failed to follow Claimant’s directions to move into more conservative investments in early 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Butler (Butler), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $31,000.00 on September 23, 2025.

The client alleges FA misappropriated funds in the amount of $31,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thaddeus Eubanks (Eubanks), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Eubanks 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 $2,500,000.00 on September 18, 2025.

Claimant makes various allegations relating to the initial purchase, use of margin to purchase additional shares, and recommendation to continue holding shares of a purported concentrated position in Fisker, Inc. Relevant period February 2021 through December 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Wilson Ii (Wilson Ii), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Wilson Ii 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 $20,000.00 on September 02, 2025.

Client gave former financial advisor $20,000.00, cash for an alleged outside investment opportunity.

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

FINRA BrokerCheck shows a pending customer complaint on September 26, 2025.

Clients allege their financial advisor placed unauthorized trades in several accounts, which resulted in the loss of thousands of dollars of which they are seeking compensation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Mills (Mills), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mills 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 $180,340.23 on October 07, 2025.

Client alleges misrepresentation of return on portfolio for the year 2024 resulting in a loss of $180,340.23.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Galloway (Galloway), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Galloway 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 $28,000.00 on December 16, 2022.

Client alleges FA did not tell them about tax consequences resulting from the sale of a variable annuity.

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