December 10, 2020
Matthew Jennings, a former registered representative associated with Edward D. Jones & Co., L.P. in Johnston, Iowa, consented to a Letter of Acceptance, Waiver and Consent (AWC) for refusing to provide documents and information requested by the Financial Industry Regulatory Authority (FINRA) Department of Enforcement.
His FINRA BrokerCheck report reveals that Edward Jones discharged him in July 2019 over “concerns that [he] introduced clients to an investment not offered through the firm.” FINRA Department of Enforcement subsequently began investigating his these allegations.
By refusing to cooperate with a FINRA investigation, Jennings violated FINRA Rules 8210 and 2010. He consented to a bar from associating with any FINRA member firm in any capacity without admitting or denying the allegations made against him.
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