Edward Jones is suing two advisors who moved to Ameriprise for allegedly violating non-solicitation agreements, making this the latest case of a brokerage firm taking its former employees to court over client contacts.
Tagged with "Edward Jones"
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Whose clients are they? Edward Jones sues $150M Ameriprise advisors
Posted on November 14th, 2018 at 5:10 PM
Edward Jones Files Temporary Restraining Order Against a Terminated Financial Advisor
Posted on September 26th, 2018 at 3:38 PM
Edward Jones has filed a temporary restraining order against a recently terminated financial advisor from San Carlos, California for allegedly taking trade secrets and client information with him after he left the firm in violation of firm policy.
Former Pennsylvania Advisor Sentenced to Prison for Running a $1.2 million Ponzi Scheme
Posted on November 3rd, 2017 at 3:26 PM
Former Edward Jones financial advisor, Bernard Parker was sentenced to 87 months in federal prison for running a six-year $1.2 million Ponzi scheme.
2015 Representative Movement
Posted on October 13th, 2016 at 9:03 AM
In 2015, wirehouse firms such as UBS Financial, Merrill Lynch, Wells Fargo Advisors and Morgan Stanley, incurred a net loss of 312 reps.
Another Five Firms Ordered to Pay $18M for Mutual Fund Overcharges
Posted on November 4th, 2015 at 1:56 PM
The Financial Industry Regulatory Authority (FINRA) continues to fine broker dealers for charging improper fees for mutual funds. The recent firms are Edward Jones, Stifel Nicolaus & Co., Janney Montgomery, AXA Advisors, and Stephens Inc. They were fined a cumulative total of $18.4 million according to FINRA’s most recent announcement.
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