Edward Jones

There are Recent Customer Complaints with Broker Henry Arellano in Firm Edward Jones

August 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 14, 2023.

Client alleges she requested her financial advisor invest into CDs to preserve their principal and his failure to do so resulted in market loss.

There are Recent Customer Complaints with Broker Rogerio Almeida in Firm Edward Jones

August 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on June 27, 2023.

Without admitting or denying the findings, Almeida consented to the sanctions and to the entry of findings that he conducted OBAs as a mortgage loan officer without providing prior written notice to his member firm. The findings stated that Almeida earned $35,026 in commissions from those activities. Ultimately, Almeida submitted an OBA form to the firm, disclosing that he had a mortgage license with a mortgage company and inaccurately stating he was not working as a loan officer. The firm rejected the OBA, however, Almeida continued to work as a loan officer after the firm’s rejection.

Broker Douglas Smith in Edward Jones Firm Has Customer Complaint

August 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Smith (Smith), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $8,000.00 on May 27, 2024.

The client alleges she did not authorize the liquidation of her entire account to move to a different managed account platform.

Broker Ivor Thomas in Edward Jones Firm Has Customer Complaint

August 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 24, 2024.

The client alleges that since 2018, the Financial Advisor advised them to make Roth contributions despite their eligibility limitations based upon their income.

There are Recent Customer Complaints with Broker Darin Duke in Firm Edward Jones

August 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

The clients allege they deposited $60,000 on April 4, 2025, with the expectation that the Financial Advisor would invest it for them but did not.

There are Recent Customer Complaints with Broker Devin Allen in Firm Edward Jones

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Devin Allen (Allen), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Allen 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 $12,738.18 on July 11, 2025.

Client alleges that her FA did not accurately explain how her account fees would be charged and what would be charged. Further, she alleges the FA did not accurately explain taxes she would owe as a result of transactions.

There are Recent Customer Complaints with Broker Harry Hartman in Firm Edward Jones

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harry Hartman (Hartman), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hartman 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 $122,779.00 on July 07, 2025.

Claimant alleges registered representative sold individual stock holdings of the Claimant without her informed consent on April 19, 2024.

Broker Scott Wirgau in Edward Jones Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Wirgau (Wirgau), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Wirgau 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 $269,705.36 on July 10, 2025.

The client alleges in 2021 they deposited $269,705.36 to be invested in a short-term interest earning account with easy access. They further allege the financial advisor did not invest the funds according to those instructions and they have since lost this amount.

There are Recent Customer Complaints with Broker Evan Moser in Firm Edward Jones

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Moser (Moser), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Moser 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 $10,000.00 on September 26, 2022.

The client alleges that the financial advisor placed trades in 2021 without authorization.

There are Recent Customer Complaints with Broker Katherine Morosani in Firm Edward Jones

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katherine Morosani (Morosani), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Morosani 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 $16,058.92 on September 27, 2022.

The client alleges the purchase of two mutual funds was not appropriate for her specific needs and goals, which she alleges the Financial Advisor was aware of.