DID EDWARD H PRINCE CAUSE YOU INVESTMENT LOSSES?
About Edward Prince of Moloney Securities Co., Inc.?
Edward Prince (CRD #4647442) is currently registered with Moloney Securities Asset Management LLC and Moloney Securities Co., Inc., located in Kansas City, MO. He has been with these firms since December 2016 and March 2018, respectively. Prince is licensed in 10 U.S. states and territories and is registered with one Self-Regulatory Organization. His career includes previous registrations at Eckman Wealth Management, Princor Financial Services, AXA Advisors, and Northwestern Mutual Investment Services. He has passed three general industry/product exams (Series 7, Series 6, Securities Industry Essentials) and two multi-state securities law exams (Series 63, Series 65).
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Edward Prince Customer Complaints and Reviews
Edward H. Prince has two reported disclosure events:
- Regulatory Event (Finalized December 16, 2015): This action was initiated by the state of Missouri due to Prince conducting business as an unregistered investment adviser representative. The case was settled with Prince being prohibited from acting as an unregistered advisor and a suspended fine of $5,000, contingent on compliance with the consent order.
- Customer Dispute (Pending as of March 22, 2024): Allegations against Prince involve claims of suitability and negligence related to corporate debt products. The claimant is seeking damages of $175,000. This matter is currently under arbitration with FINRA.
Allegations Against Edward Prince
- Regulatory Allegations:
- Conducting business as an unregistered investment adviser representative in Missouri, engaging with more than five clients, which was a breach of state regulations.
- Failure to report a Kansas State tax lien on his application, which was required for complete disclosure.
- Customer Complaint Allegations (Pending):
- Suitability and negligence regarding recommendations and management of corporate debt investments, leading to significant claimed financial damages.
Edward Prince Red Flags & Your Rights As An Investor
Of course, Edward Prince did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Edward Prince at Moloney Securities Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Edward Prince has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Moloney Securities Co., Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Moloney Securities Co., Inc. Due To Edward Prince
If you have questions about Moloney Securities Co., Inc. and/or Edward Prince and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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