John Edes — Alleged Investment Fraud

Rochester stockbroker fraud attorneyJohn C. Edes, a Former Broker at Equity Services, Inc., Barred from the Securities Industry by FINRA

Have you or a loved one invested your hard-earned money with John C. Edes of East, Greenwich, Rhode Island?

John Edes, a financial advisor who was a registered representative of Equity Services, Inc. (ESI) in Rhode Island from 2004 to November 2016 , has been barred from the securities industry by FINRA after he was terminated by Equity Services, Inc., according to a recent Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Investors who believe they may have lost money in alleged activity related to John Edes’ termination from Equity Services Inc. are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

The Peiffer Rosca Wolf securities lawyers are currently investigating the circumstances regarding John Edes’ termination from Equity Services Inc.

John Edes, on June 7, 2017, and in connection with an investigation into his termination from ESI, was sent a request from FINRA staff requesting information and documents pursuant to FINRA Rules, the AWC notes.

As stated in his phone call with FINRA staff on July 7, 2017, and by the agreement of the AWC, Edes allegedly acknowledges that he received FINRA’s request and will not produce the information requested at any time, the WC states.

John Edes Allegedly Refused to Produce Requested Documents and Information in the Course of  a FINRA Investigation Regarding his Termination from Equity Services, Inc.,; Edes Barred from Securities Industry

John Edes, by allegedly refusing to produce the information requested pursuant to FINRA Rules allegedly violated FINRA Rules, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker. Hence, based on the aforementioned behavior, John Edes has been barred from associating with any FINRA member in any capacity, according to the AWC.

John Edes was a financial advisor and registered representative of Equity Services, Inc. from 2004 to November 2016 and he also worked at a branch office in East Greenwich, Rhode Island and was also affiliated with Maffe Financial Group in Warwick, Rhode Island, the AWC notes.

One should also note that, according to the AWC, John Edes neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of investment fraud and are currently investigating alleged activity related to John Edes’ termination from Equity Services Inc. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of alleged activity related to John Edes’ termination from Equity Services Inc. may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

Alan Rosca (1214 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.