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Violation Tracker Individual Record

Company: Edward D. Jones & Co., L.P.
Current Parent Company: Jones Financial
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $175,000
Year: 2022
Date: November 11, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Edward D. Jones & Co., L.P. agreed to pay a fine of $150,000 and reimburse the Securities Division $25,000 for its costs in settlement of allegations it failed to adequately supervise an individual who was formerly a securities salesperson and investment adviser representative at the firm.
Level of Government: state
Action Type: agency action
Agency: Washington Division of Securities
Civil or Criminal Case: civil
Facility State: Washington
HQ Country of Current Parent: USA
HQ State of Current Parent: Missouri
Ownership Structure of Current Parent: privately held
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.