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WARNING! Impending Investigation – JOHN EDES

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31
Aug

WARNING! Impending Investigation – JOHN EDES

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WARNING!  Impending Investigation – JOHN EDES

John Edes, formerly of Equity Services, Inc., Barred from Securities Industry

 

Have you lost money with financial advisor John Edes of East Greenwich, Rhode Island?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John C. Edes. FINRA barred Edes from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Edes after he was terminated by his former brokerage firm, Equity Services, Inc.

 

John Edes was a financial advisor and registered representative of Equity Services, Inc. from 2004 to November 2016.   He worked at a branch office in East Greenwich, Rhode Island.  Edes was also affiliated with Maffe Financial Group in Warwick, Rhode Island.

 

Brokerage firms like Equity Services, Inc. have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle, Washington area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Rhode Island and throughout New England.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

 

Click to view:  Edes, John FINRA AWC

Click to view:  Edes, John BrokerCheck 8.30.17

 

If you lost money with John Edes or Equity Services, Inc., please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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