Anthony Hall Gets Barred By FINRA

FINRA Bars Edward Jones Securities Broker Anthony Hall Because Of Alleged Investigation Misconduct

Notably, the Financial Industry Regulatory Authority (FINRA) barred securities broker Anthony Glenn Hall (CRD#: 5546165, Dayton, Texas) for not cooperating with FINRA investigators. Not only that, but BrokerCheck shows that Edward Jones, who employed Hall from 2008 to 2019, disaffiliated with him for selling away. Moreover, two investors filed disputes alleging sales practice violations by Hall.

FINRA’s Disciplinary Action Against Anthony Hall Concerns Alleged Obstruction Of Investigation

Evidently, on July 2, 2020, FINRA indefinitely barred Anthony Hall as a securities broker for violating FINRA’s investigation rules. In general, this means that Hall cannot associate with FINRA-member firms, which constitute most major United States securities brokerages. This is to resolve allegations that Hall refused to provide information and documents that FINRA asked for when investigating him. Supposedly, FINRA investigated Edward Jones’ reason for discharging Hall as a securities broker. Edward Jones mentioned that Hall tried to settle complaints concerning lending arrangements with Hall’s spouse.

Edward Jones Clients Allege Damages From Borrowing Arrangement

It seems that a client of Edward Jones came forward in August 2019 to complain about Anthony Hall. Supposedly, Hall’s wife borrowed money from the client and failed to pay them back. Because of this, Edward Jones agreed to pay the client $130,000 to settle this matter in December 2019. Also, a second Edward Jones client made the same accusations in an August 2019 complaint. It appears that in December 2019, Edward Jones paid $174,427.75 as a settlement of this matter.

Losses By Investing With Anthony Hall?

Apparently, securities broker Anthony Hall denies allegations of sales practice violations. Have you experienced investment losses by interacting with this broker? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with experienced counsel concerning a possible recovery. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The law firm has recovered substantial compensation for US clients who have experienced losses from their securities brokers and financial advisors.