JENNIFER GALE JONES is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 1909 STARLING ST #410, CHESAPEAKE, VA, 23322.
JENNIFER GALE JONES has worked at CETERA ADVISORS LLC since October 03, 2016
Disclosure History
JENNIFER GALE JONES has 2 Disclosure Event(s).
Date: February 22, 2000 Category: Customer Dispute Allegations: CLIENT COMPLAINED ABOUT CALLABLE CD PURCHASED IN JANUARY 1999. CLAIMED HE WANTED ONE YEAR CDS, NOT CALLABLE CDS. SAID BROKER DID NOT DISCUSS LONG TERM NATURE CDS. UNREALIZED LOSS AT CURRENT TIME WAS $10,705.20 Damage Amount Requested: $10,705.20 Broker Comment: CLIENT PURCHASED EIGHT CALLABLE CDS, BUT ONLY COMPLAINED ABOUT ONE. SEVERAL WERE CALLED, ONE WAS SOLD, AND SOME ARE STILL ACTIVE DUE TO RECENT INTEREST RATE CLIMATE. MS. JONES PROPERLY REPRESENTED INVESTMENTS AS LONG TERM, AND CONFIRMATIONS AND MONTHLY STATEMENTS INDICATED THE SAME. CLAIM DENIED.
Date: July 13, 1995 Category: Employment Separation After Allegations Firm Name: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Termination Type: Discharged Allegations: N/AMS. JONES WAS TERMINATED AFTER SHE ADMITTEDTO MANAGEMENT THAT SHE ENTERED UNAUTHORIZED TRADES IN ACLIENT'S ACCOUNT. MS. JONES ALSO ADMITTED TO SENDING THE CLIENTCORRESPONDENCE THAT WAS NOT APPROVED BY BRANCH MANAGEMENT. IDIDN'T ADMIT TO THAT-I ADMITTED TO A TIME DELAY BETWEEN HISVERBAL INSTRUCTIONS AND MY ENTERING THE ORDERS NEXT MORNING. HERESIDED IN JAPAN. THE UNAUTHORIZED CORRESPONDENCE WAS ONLY AFAX CONFIRMING THAT DR. PANUNTO'S TRADES WERE BUSTED. Broker Comment: TERMINATION. I PURSUED A CIVIL CASE OF SEXUALHARRASSMENT AND SEXUAL DISCRIMNATION AGAINST MERRILL. THE SUITWAS SETTLED 12/1997. THE MASD INVESTIGATED THE CLAIMS MERRILLMADE AGAINST ME AT MY REQUEST AND FOUND THEM TO BE WITHOUTMERIT.I DO NOT AGREE THAT THE TRADES WERE UNAUTHORIZED.RATHER, OUT OF SELLER'S REMORSE, THE CLIENT RENEGED ONE MONTHAFTER THE FACT-CONVENIENTLY AFTER THE STOCK HAD RISEN ANOTHER15 POINTS. I WAS ASKED BY MY CLIENT TO CONFIRM IN WRITING THEEVENING OF JULY 12TH THAT THE TRADE WAS BUSTED. THIS WAS AFTER8 PM-NOTE THE 13 HOUR TIME DIFFERENCE BETWEEN HERE AND JAPAN.THE FAX ONLY STATED THAT THE TRADES WERE BUSTED. TEHRE WAS NOONE IN THE OFFICE TO REVIEW THIS NOTE(I SEARCHED THEOFFICE-THERE WAS NO ONE ELSE THERE) SO I DON'T AGREE WITH THEGENERAL STATEMENT "ADMITTED TO SENDING CLIENTCORRESPONDENCE...: IT DOSEN'T REPRESENT THE SITUATION CLEARLY.STATE IS CORRECT
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