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Emma McAuley Resigned from Edward Jones

Emma McAuley (CRD #: 7178199) voluntarily resigned from Edward Jones. This disclosure appears on her BrokerCheck record, accessed on April 11, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On February 20, 2024, Emma McAuley voluntarily resigned following allegations regarding an adherence to firm policies relating to discretionary orders and accepting instructions. 

FINRA Rule 3260 and Discretionary Trading

FINRA Rule 3260 requires brokers to receive written authorization from their clients before engaging in discretionary trading. Discretionary accounts must also be approved by the firm before this trading can occur.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to adhere to firm policies may violate this rule. 

Kurta Law Can Help 

If you have worked with Emma McAuley and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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