Anthony Cummings, formerly of Edward Jones, Barred by FINRA
Have you lost money with financial advisor Anthony Cummings of Lutherville Timonium, Maryland? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony John Cummings. FINRA was investigating Cummings after he was alleged to have converted $60,000 from a client with no intent or means to pay it back.
Anthony Cummings was a financial advisor and registered representative of Edward Jones from 2002 to July 2016. He worked at a branch office in Lutherville Timonium, Maryland. Cummings was also terminated by Edward Jones for this conduct in July 2016 for this conduct.
Brokerage firms like Edward Jones have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Maryland. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Edward Jones.
Click to view: Cummings, Anthony FINRA AWC
Click to view: Cummings, Anthony BrokerCheck 5.11.17
If you lost money with Anthony Cummings or Edward Jones, please CONTACT US at 206-795-5798 or 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.