Nex Systems
Type not stated

Edward D. Jones and Co. L.P.

Regulator action

United States. Named in 3 sanctions listings.

Screen this subject

Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090181031-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P. d/b/a Edward Jones, Respondent Broker-Dealer CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward D. Jones & Co., L.P. d/b/a Edward Jones (the "firm") submits this Letter of Acceptance, Waiver and Consent

    Reference 2009018103101data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021566902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P. FINRA Member Firm BD No.: 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if

    Reference 2010021566902data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/12/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060060546-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P., Respondent Broker-Dealer CRD No. 250 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Edward D. Jones & Co., L.P. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2006006054601data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.