🚨 Whistleblower Reminder – Edward Jones Off-Channel Communications 🚨

In August of 2024, the S.E.C. fined Edward Jokes $50 million due to EJ employees and EJ leaders using WhatsApp and group text messaging for work purposes, which violates record keeping regulations and places client information at risk.

If you are aware of ANY Edward Jones leaders or employees communicating via text messages or 3rd party messaging apps after AUG of 2024, please reach out to the SEC asap. You can get PAID a whistleblower reward for tips that result in fines or arrests!!!

Here is the contact information for the investigators that conducted the SEC Investigation.

•   Investigators directly involved:
•   Karen E. Willenken
•   Craig C. Welter
•   Wesley W. Wintermyer
•   Christopher M. Castano
•   Alison T. Conn  
•   Overall supervision:
•   The investigation was supervised by Thomas P. Smith, Jr., based in the SEC’s New York Regional Office  .

If you have proof (e.g., screenshots, logs, messages) that employees are still using WhatsApp or other unauthorized platforms for business communications, these are the investigators you’d want to contact.

⸻

What to Do Next

You have a couple of careful and strategic channels available:

1.  SEC Whistleblower Program

Since you already mentioned the SEC’s whistleblower website, that is indeed a valid entry point. However, for more direct handling, you might consider contacting the individuals above—particularly through the Division of Enforcement in the NY Regional Office.

2.  Division of Enforcement – New York Office

The NY Regional Office often handles tips and leads related to litigation and enforcement. You could direct your materials to:
• Thomas P. Smith, Jr. (as supervisory contact)
• Or any of the five named investigators.
Note: Make sure your submission is secure and follows any guidelines the SEC provides for submitting evidence.

3.  Whistleblower Protections

The SEC’s whistleblower program may entitle you to confidentiality and potential rewards depending on the value of the information. It could be wise to consult legal counsel experienced in SEC whistleblower matters to preserve your rights and anonymity.

Final Thoughts
• Your next step: Prepare the evidence carefully (preserving metadata and context) and consider submitting it via the whistleblower program—AND/OR directly to the above SEC personnel.
• Consider legal advice if you’re concerned about confidentiality, or if you want to potentially pursue a formal whistleblower claim.

👉 How to report:
• Easiest: sec.gov/whistleblower
• Or call the SEC NY office at (212) 336-1100

Your identity stays protected by law. If you’ve got proof, now’s the time to step up. 💡

#Whistleblower

Comment! It's anonymous!

12 replies (most recent on top)

That’s not entirely accurate. They just won’t pay for journaling of texting so that’s why it is illegal. It isn’t the texting itself that is illegal.

@OP thank you for the info. Whistleblower forms have been filled out and screenshots have been sent to the sec.gov whistleblower portal. I’m tired of the partners being treated with kid gloves while lower level EJ associates are treated as disposable trash that gets hurt while the ELT and partners make record profits.

@ae how’s that boot taste?

@ac You are either oblivious, lying or incompetent. Attached below is the link to the SEC’s press release in which EJ was fined for $50M. 🤣. Keep licking those boots and maybe one day you can be a GP too! To bad you don’t direct your rage towards the ELT and partners that milk this firm dry from the front line employees that actually do the work. Ted Jones is spinning in his grave. Take that “I’m the richest man in the world BS and gargle it with Penny’s PP. This firm is dying and the execs are trimming fat to max their bonuses or take it public. Golden tickets for the partners and pink slips for the pleebs.

https://www.sec.gov/files/litigation/admin/2024/34-100704.pdf

Also, if you are serious about it, don’t follow this stupid post and get a qualified lawyer who can help you with this process.

Just be mindful that reporting your employer after you’ve been fired will also not add to your credibility and will results in much lower whistleblowing awards.

If you saw a violation and did not report it then, make sure you have explanation for that because that by itself could be seen as liability.

@OP lol this never happened and you can validate this by looking up SEC/FINRA histories on the firm. We also have internal policies we have signed. Your a sad sack of sh-t who needs to lay in their bed and go silently. You've filled this site and thread with garbage and lies for a week. Go home boomer and take your meds.

@a8 quarterly and it was a requirement from the sec

The firm has us sign the off-channel attestation every year, which shifts the liability from the firm to associates. So I am afraid whistleblowing will just get our colleagues and ex-colleagues into trouble.

I’ve got some text messages from senior partners of the firm that would make a nun sweat and a FINRA auditor cr-p their pants. Will be reaching out to the SEC and FINRA to share all work related messages from after August 2024 🤣. This place is a clown 🤡 show and deserves what they got coming.

Thank you for sharing @OP! I have several years of group chats with Regional Leaders and several level 10’s that the SEC and FINRA would love to see lol. Many of these messages are after last August. Sorry executive team if you get fined again, it’s just business and I’m re-imagining what a big ol’ whistleblower reward would look like in my bank account.

Way to find ways to sc--w over the remaining 40k+ employees that had nothing to do with the mismanagement that led us here. Brilliant!

Thread regarding Edward Jones layoffs

🚨 Whistleblower Reminder – Edward Jones Off-Channel Communications 🚨

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