Edward Jones Stockbroker Fired For Unregisterd Sales Assistant

Lisa Dawn Peake of Vancouver Washington a stockbroker formerly employed by Edward Jones has been discharged on December 12, 2016 supported by Edward Jones’ accusations that Peake consistently failed to abide by the firm’s policies and allowed an unregistered person to engaged in sales activities with customers of the firm.

Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on June 16, 2014, a customer filed an investment related complaint concerning Peake’s conduct where the customer requested damages estimated to exceed $5,000.00 founded on allegations that while Peake was registered with Edward Jones, she breached a fiduciary duty to a customer by omitting information about Peake’s real estate transactions involving a third party.