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Abe Warren Dye

Abe Warren Dye is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 6021 S KINGS RANCH RD #4, GOLD CANYON, AZ, 85118-4774.

Abe Warren Dye has worked at EDWARD JONES since May 18, 1978

Disclosure History

Abe Warren Dye has 3 Disclosure Event(s).

Date: June 23, 1994
Category: Customer Dispute
Allegations: BREACH OF FIDUCIARY DUTY, MISREPRESENTATIONAND DAMAGES OF $34,765.
Damage Amount Requested: $34,765.00
Settlement Amount: $17,000.00
Broker Comment: SETTLED FOR $17,000Not Provided

Date: June 28, 1993
Category: Customer Dispute
Allegations: BREACH OF FIDUCIARY DUTY & MISREPRESENTATIONIN THE SALE OF NOONEY REAL PROPERTY INVESTORS V. AMOUNTCLAIMED: $34,765
Damage Amount Requested: $30,001.00
Settlement Amount: $17,000.00
Broker Comment: Not ProvidedNot Provided

Date: January 01, 1986
Category: Regulatory
Initiated By: ILLINOIS
Resolution: Consent
Broker Comment: THE CONSENT ORDER STATES THAT EDWARD D. JONES & CO. (EDJ): (1) SHALL ARRANGE FOR AN EMPLOYEE OF ITS HEADQUARTERS COMPLIANCE STAFF TO VIST THE EDJ BRANCH OFFICES EMPLOYING THE REGISTERED REPRESENTATIVES LISTED ON EXHIBIT B (DYE WAS LISTED) ONCE EVERY SIX MONTHS FOR THE 12 MONTHS FOLLOWING THE EXECUTION OF THIS ORDER. (2) ON OR ABOUT DECEMBER 31, 1986 AND DECEMBER 31, 1987, EDJ SHALL MANUALLY PREPARE AND FORWARD TO THE ILLINOIS SECURITIES DEPARTMENT A FORM U4 FOR EACH SALESPERSON LISTED ON EXHIBIT B; (3) EDJ SHALL PROVIDE THE ILLINOIS SECURITIES DEPARTMENT WITH A COPY OF A WRITTEN REPORT PREPARED BY INDEPENDENT COUNSEL CONCERNING EDJ'S POLICIES AND PROCEDURES FOR CONDUCTING DUE DILIGENCE INVESTIGATIONS; (4) EDJ SHALL PAY TO THE SECRETARY OF STATE THE SUM OF $10,000 IN REIMBURSEMENT FOR THE COSTS AND EXPENSES OF THE INVESTIGATION IN THIS MATTER; (5) EDJ SHALL SUBMIT TO THE BINDING ARBITRATION WITH SUCH OF THE 22 DEBENTURE PURCHASERS IDENTIFIED ON EXHIBIT C WHO ELECT TO PARTICIPATE IN SUCH AN ARBITRATION. THE PROCEDURES UNDER WHICH THE ARBITRATION WILL BE CONDUCTED SHALL BE MUTUALLY AGREED TO BY EDJ AND THE ILLINOIS SECURITIES DEPARTMENT; (6) THIS MATTER, TOGETHER WITH THE AMENDED COMPLAINT HEREIN, IS DISMISSED WITH PREJUDICE AS TO EDJ AND RESPONDENTS BAU, DARNALL, DYE, LEININGER, MYRE, QUICK, AND REAMEY, AND NO FURTHER ACTION SHALL BE TAKEN BY THE STATE OF ILLINOIS AGAINST AGAINST EDJ, THE FOREGOING INDIVIDUAL RESPONDENTS, OR ANY OTHER REPRESENTATIVE OF EDJ, WITH RESPECT TO THE OFFER FOR SALE OR SALE BY EDJ OR ITS REPRESENTATIVES OF THE D.H. BALDWIN COMPANY DEBENTURES WHICH ARE THE SUBJECT OF THIS ACTION.

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