A former Edward Jones dealer accepted a 15-month suspension and $15,000 superb by the Monetary Trade Regulatory Authority for utilizing her private cell phone to textual content shopper paperwork to a co-worker after which mendacity about it when questioned by the corporate, based on a FINRA regulatory submitting on Thursday.

The suspension is longer than traditional for a dealer who violates FINRA guidelines however isn’t barred from the trade.

With out admitting or denying the regulator’s findings, Delaina Kucish signed a FINRA letter of acceptance, waiver and consent on Might 31, agreeing to the regulator’s sanctions. FINRA signed the letter sooner or later later.

Kucish entered the securities trade in Might 2001, when she joined Edward Jones, and she or he turned registered with FINRA as a normal securities consultant two months later, based on her report on FINRA’s BrokerCheck web site.

She was with the agency for over 21 years. However, on April 3, 2023, Edward Jones filed a Kind 5 Uniform Termination Discover disclosing that Kucish voluntarily terminated her affiliation. She is now not registered as a dealer or advisor, based on her report on BrokerCheck.

Edward Jones declined to touch upon Tuesday.

Steven M. Malina, an lawyer at legislation agency Greenberg Traurig who represented Kucish, didn’t instantly reply to a request for remark.

A number of FINRA Rule Violations

Between February and July 2021, Kucish used unauthorized textual content messages on her private cell phone to transmit shopper paperwork to a different related individual on the agency, which brought about Edward Jones to fail to protect business-related textual content messages as required by the Securities Alternate Act of 1934, Alternate Act Rule 17a-4(b)(4), and FINRA Guidelines 4511 and 2010, based on the AWC letter.

“By inflicting Edward Jones to fail to protect required books and data, Kucish violated FINRA Guidelines 4511 and 2010,” based on FINRA.