FINRA Reportedly Bars Edward Jones Broker John Winslow after Allegations of Receiving Funds from a Client
The Financial Industry Regulatory Authority (FINRA) has reportedly barred broker John Scott Winslow (CRD#: 3071933) on April 12, 2022 from the securities industry after allegations that he failed to disclose to his member firm that he received funds from a client.
According to his FINRA BrokerCheck report, Winslow was reportedly dismissed from Edward Jones, his member firm, after allegedly admitting he failed to disclose to the Firm that he received funds from a client. He reportedly has one customer complaint on his record. He was reportedly affiliated with the following firms, among others, during his career in the securities industry:
09/20/2013 – 12/15/2021, EDWARD JONES (CRD#:250), GIG HARBOR, WA,
06/06/2011 – 08/23/2013, UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455), TACOMA, WA
Potential Lawsuits to Recover Financial Losses
The White Law Group is investigating potential securities fraud lawsuits regarding the liability that Winslow’s employers may have for failure to properly supervise him.
When brokers and registered investment advisors violate securities laws, such as churning accounts or making unsuitable investment recommendations, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. We represent investors in all 50 states including Washington. Our attorneys have recovered millions of dollars from many brokerage firms in the past.
If you are concerned about your investments with John Winslow, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.
For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.
Tags: broker John Winslow barred, John Winslow complaints, John Winslow disputes, John Winslow Edward Jones, John Winslow financial advisor, John Winslow Gig Harbor Washington, John Winslow investigation, John Winslow investor disputes, John Winslow lawsuit, John Winslow securities fraud attorney Last modified: May 12, 2023