Articles Tagged with Edward Jones

Gregory CoffingPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that Ohio-based Edward Jones broker/adviser Gregory Coffing has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Coffing (CRD# 3260352).

Gregory Coffing has spent 19 years in the securities industry and has been registered with Edward Jones in Mt. Vernon, Ohio since 1999. He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 9, 1999, and Series 7 (General Securities Representative Examination), which he obtained on September 7, 1999. He is a registered broker and investment adviser with 26 US states and territories: Alabama, Arizona, California, Colorado, Florida, Georgia, Hawaii, Illinois, Kentucky, Maryland, Michigan, Minnesota, Nevada, New Hampshire, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, Washington, and West Virginia. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint and one customer complaint that was denied.

Thomas BelvinPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that Virginia-based Edward Jones broker/adviser Thomas Belvin has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Belvin (CRD# 17778).

Thomas Belvin has spent 45 years in the securities industry and has been registered with Edward Jones in Newport News, Virginia since 1982. Previous registrations include FSC Securities Corporation (1981-1982); Waddell & Reed (1979-1981); Anchor National Financial Services (1978-1980); PLA Securities Corporation (1976-1977); and CG Equity Sales Company (1972-1976). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 2, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 8, 1982; and Series 1 (Registered Representative Examination), which he obtained on June 7, 1972. He is a registered broker and investment adviser with 27 US states and territories.

According to his BrokerCheck report, he has received five customer complaints and one pending customer complaint.

Stephen Tracy

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 29, 2018 indicate that Illinois-based broker/adviser Stephen Tracy has received a pending customer dispute and was discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tracy (CRD# 4655365).

Stephen Tracy has spent 14 years in the securities industry and is currently based in Robinson, Illinois. He was registered with Edward Jones in Robinson, Illinois from 2003 until March 2018. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 24, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 19, 2003; and Series 7 (General Securities Representative Examination), which he obtained on June 16, 2003. He is a registered broker and investment adviser with four US states—Illinois, Indiana, Nebraska, and Ohio—and one self-regulatory organization (SRO), FINRA.

According to his BrokerCheck report, he has received one pending customer complaint and two denied customer complaints, and he was discharged from his former employer in connection to alleged rule violations.

Mark Saunders

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that former Missouri-based Edward Jones broker/adviser Mark Saunders was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Saunders (CRD# 3060799).

Mark Saunders has spent 19 years in the securities industry and was most recently registered with Edward Jones in Monroe City, Missouri (1999-2018). He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 15, 1999, and Series 7 (General Securities Representative Examination), which he obtained on January 13, 1999. He is currently not registered with any state, firm or self-regulatory organization.

According to his BrokerCheck report, he has received one regulatory sanction and one customer complaint, and he was recently terminated from his former employer.

John BrownPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 27, 2018 indicate that Texas-based Edward Jones broker/adviser John Brown, also known as Brad Brown, is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Brown (CRD# 1803393).

John Brown has spent 30 years in the securities industry and has been registered with Edward Jones in Portland, Texas since 1988. He has no previous registrations. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 13, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 6, 1988; and Series 7 (General Securities Representative Examination), which he obtained on February 20, 1988. He is a registered broker and investment adviser with 31 US states and territories and with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

Matthew KerbyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 21, 2017 indicate that former Indiana-based Edward Jones broker/adviser Matthew Kerby was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kerby (CRD# 5381195).

Matthew Kerby has spent ten years in the securities industry and was registered with Edward Jones in Paoli, Indiana from 2007 through 2017. He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 13, 2007, and Series 7 (General Securities Representative Examination), which he obtained on August 29, 2007. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations.

Jon VanSlooten

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2017 indicate that former Ohio-based Edward Jones broker/adviser Jon VanSlooten has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. VanSlooten (CRD# 2011865).

Jon VanSlooten has spent seven years in the securities industry and was most recently registered with Edward Jones in Toledo, Ohio (2008-2016). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Jon VanSlooten was recently sanctioned by FINRA in connection to alleged rule violations.

Edward JonesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 9, 2017 indicate that Missouri-based brokerage and advisory firm Edward Jones was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Edward Jones (CRD# 250).

Established in Missouri in 1941, Edward Jones is headquartered in St. Louis, Missouri and registered with 53 US states and territories. Kevin Bastien is Chief Financial Officer; Richard Link is Chief Compliance Officer; James Weddle is Chief Executive Officer; James Tricario is Chief Legal Officer. The firm is registered with the Securities and Exchange Commission, FINRA, and four other self-regulatory organizations.

According to the firm’s BrokerCheck report, Edward Jones was recently sanctioned by FINRA.

Jetmir AhmetiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 10, 2017 indicate that former Texas-based Edward Jones broker Jetmir Ahmeti has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ahmeti (CRD# 5568499).

Jetmir Ahmeti has spent six years in the securities industry and was most recently registered with Edward Jones in Dallas, Texas (2009-2015). He was previously registered with AXA Advisors in Plano, Texas (2008-2009). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any firm or state.

According to his BrokerCheck report, he has received two regulatory sanctions and was discharged from a former employer.

Michael BruchPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 21, 2017 indicate that Montana-based Edward Jones broker/adviser Michael Bruch has been the subject of a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bruch (CRD# 4585770).

Michael Bruch has spent fourteen years in the securities industry and has been registered with Edward Jones in Cut Bank, Montana since 2002. He has no previous registrations. He has passed three securities industry examinations: Series 7 (General Securities Representative Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 66 (Uniform Combined State Law Examination). He is a registered broker and investment adviser with 19 US states and territories.

According to his BrokerCheck report and FINRA records, Michael Bruch has been the subject of a customer complaint.