10.0David P Neuman
(720) 599-3505

Advisor DONALD LOGAN of Waddell & Reed SUSPENDED

Tag Archives: Edward Jones

14
Jan

Advisor DONALD LOGAN of Waddell & Reed SUSPENDED

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Advisor DONALD LOGAN of Waddell & Reed SUSPENDED

Donald Logan from Silverdale, Washington Suspended for Eighteen Months from Securities Industry   Have you lost money with financial advisor Donald Logan of Silverdale, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Donald Logan. FINRA suspended Logan from the securities industry for eighteen months and fined him $25,000.  FINRA ...

05
Oct

UPDATE! MATTHEW KERBY BARRED – Paoli, IN

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UPDATE!  MATTHEW KERBY BARRED – Paoli, IN

Matthew Kerby, formerly with Edward Jones Barred by Indiana   Have you lost money with financial advisor Matthew Kerby of Paoli, Indiana?  We are continuing our investigation into allegations made against Matthew D. Kerby.  The Indiana Securities Commission barred Kerby from the securities industry.  Kerby was barred after he was the subject of an earlier ...

05
Oct

Complaints Against WILLIAM BLACK of Edward Jones – Malvern, AR

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Complaints Against WILLIAM BLACK of Edward Jones – Malvern, AR

Edward Jones Subject of Arkansas Complaint Regarding Supervision of William Black   Have you lost money with financial advisor William Black of Malvern, Arkansas?  We are investigating allegations made by the Arkansas Securities Department.  Arkansas alleged that Edward Jones failed to reasonably supervise William “Ken” or “Kinney” Black.   Arkansas alleged that Black was placed ...

17
Jan

FRAUD ALERT! Advisor MATTHEW KERBY of EDWARD JONES Swindles Elderly Customer

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FRAUD ALERT!  Advisor MATTHEW KERBY of EDWARD JONES Swindles Elderly Customer

Matthew Kerby, formerly with Edward Jones, Barred from the Securities Industry   Have you lost money with financial advisor Matthew Kerby of Paoli, Indiana?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Matthew D. Kerby. FINRA barred Kerby from the securities industry after he failed to respond to a FINRA ...

04
Aug

WARNING! Impending Investigation: JAMES MARINO

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WARNING!  Impending Investigation:  JAMES MARINO

James Marino, formerly of Edward Jones, Barred from Securities Industry   Have you lost money with financial advisor James Marino of Pompano Beach, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James V. Marino. FINRA barred Marino from the securities industry after he failed to respond to a FINRA ...

03
Aug

WARNING! Impending Investigation: RALPH VILLAVICENCIO

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WARNING!  Impending Investigation:  RALPH VILLAVICENCIO

Ralph Villavicencio, formerly of Edward Jones, Barred from Securities Industry   Have you lost money with financial advisor Ralph Villavicencio of Kirkland, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ralph Villanueva Villavicencio. FINRA barred Villavicencio from the securities industry after he failed to respond to a FINRA investigation.  ...

12
Jul

UPDATE! KORY KEATH – Enumclaw, WA

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UPDATE!  KORY KEATH – Enumclaw, WA

Kory Keath, formerly of Edward Jones, Barred from Securities Industry   Have you lost money with financial advisor Kory Keath of Enumclaw, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kory P. Keath. FINRA brought a regulatory complaint against Kory Keath, alleging that she violated FINRA rules when she ...

29
Jun

Investor Alert! MITCHELL BEHM – Denver, CO

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Investor Alert!  MITCHELL BEHM – Denver, CO

Mitchell Behm, from Denver, Colorado, Suspended Seven Months from Securities Industry by FINRA   Have you lost money with financial advisor Mitchell Behm of Denver, Colorado?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Mitchell G. Behm. FINRA recently suspended Mitchell Behm from the securities industry for seven months and ...

23
Jun

INVESTOR ALERT! JON VANSLOOTEN – Toledo, OH

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INVESTOR ALERT!  JON VANSLOOTEN – Toledo, OH

Jon VanSlooten, formerly of Edward Jones, Suspended from Securities Industry for Three Months   Have you lost money with financial advisor Jon VanSlooten of Toledo, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jon Timothy VanSlooten. FINRA suspended VanSlooten from the securities industry for three months and fined him ...

11
May

WARNING! Investigation: ANTHONY CUMMINGS of LUTHERVILLE, MD

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WARNING!  Investigation:  ANTHONY CUMMINGS of LUTHERVILLE, MD

Anthony Cummings, formerly of Edward Jones, Barred by FINRA   Have you lost money with financial advisor Anthony Cummings of Lutherville Timonium, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony John Cummings. FINRA was investigating Cummings after he was alleged to have converted $60,000 from a client with ...

10.0David P Neuman

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