Donna Loeffler

Donna Loeffler is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 1914 S BROADWAY, ROCHESTER, MN, 55904.

Donna Loeffler has worked at EDWARD JONES since March 04, 2013

Disclosure History

Donna Loeffler has 1 Disclosure Event(s).

Date: April 04, 2015
Category: Regulatory
Initiated By: THE MINNESOTA BOARD OF ACCOUNTANCY
Allegations: FAILED TO PROVIDE DOCUMENTATION TO SUBSTANTIATE THE CPE HOURS REPORTED FOR THE YEARS 2011-2013; FAILED TO COMPLY WITH CONTINUING EDUCATION AND DOCUMENTATION REQUIREMENTS; FAILED TO RESPOND TO COMMUNICATIONS WITH THE BOARD INCLUDING RESPONDING TO A REQUEST TO REPLY TO THE BOARD WITHIN 30 DAYS.
Resolution: Stipulation and Consent SanctionDetails:
Sanctions: Cease and Desist

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for Donna Loeffler, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.