Violation Tracker Parent Company Summary

Parent Company Name: 
Jones Financial
Ownership Structure: 
privately held
Headquartered in: 
Missouri
Major Industry: 
financial services
Specific Industry: 
financial services
Penalty total since 2000: 
$148,411,000
Number of records: 
19
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$105,223,50015
employment-related offenses$43,175,0003
consumer-protection-related offenses$12,5001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$105,223,50015
wage and hour violation$40,000,0002
benefit plan administrator violation$3,175,0001
consumer protection violation$12,5001
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Associated Names: 

EDWARD D JONES AND; Edward D. Jones & Co., L.P.; Edward Jones; Edward Jones & Co.; Edward Jones & Co. LP

Links: 

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
Edward D. Jones & Co., L.P. investor protection violation 2004 SEC $75,000,000
Edward D. Jones & Co. wage and hour violation 2008 private lawsuit-federal $21,000,000
Edward D. Jones & Co. LP investor protection violation 2015 SEC $20,000,000
Edward D. Jones & Co. wage and hour violation 2008 private lawsuit-federal $19,000,000
Edward Jones & Co. investor protection violation 2008 CA-AG $7,500,000
Edward D. Jones & Co., L.P. benefit plan administrator violation 2019 private lawsuit-federal $3,175,000
Edward D. Jones & Co. L.P. investor protection violation 2005 MO-SEC $1,500,000
Edward Jones & Co. LP investor protection violation 2014 NH-BSR $750,000
Edward D. Jones & Co. LP investor protection violation 2016 PA-BKG $135,000
Edward D. Jones & Co., L.P. investor protection violation 2015 SEC $100,000
Edward Jones investor protection violation 2010 MT-SEC $100,000
Edward D. Jones & Co., L.P. investor protection violation 2018 AR-SEC $50,000
Edward D. Jones & Co. L.P. investor protection violation 2010 MO-SEC $40,500
Edward D. Jones & Co., L.P. consumer protection violation 2013 NE-DBF $12,500
Edward D. Jones and Co.,LP investor protection violation 2003 AK-DBS $11,000
Edward D. Jones & Co., L.P. investor protection violation 2011 IN-SEC $10,000
Edward D. Jones & Co., L.P. investor protection violation 2010 ME-SEC $10,000
Edward D. Jones & Co. L.P. investor protection violation 2019 SD-INS $10,000
Edward D. Jones & Co. LP investor protection violation 2003 ND-SEC $7,000
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