UNITED STATES SECURITIES AND EXCHANGE COMMISSION

The Securities and Exchange Commission ("Commission") deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 ("Exchange Act") and Section 203(f) of the Investment Advisers Act of 1940 ("Advisers Act") against James Vincent Marino ("Respondent" or "Marino"). The Commission finds that from July 2013 through November 2016, Marino was associated with Edward Jones, a broker-dealer and investment adviser dually registered with the Commission. On November 18, 2019, a judgment of conviction was entered against Marino based on his plea of no contest to one count of grand theft upon a person 65 years or older in violation of Sections 812.014(1)(a), 812.014(1)(b), and 812.0145(2)(b) of the Florida Statutes, before the Circuit Court of the Seventeenth Judicial Circuit in and for Broward County, Florida, in State of Florida v. James Vincent Marino, Case Number 17007849CF10A. On the same day, Marino was sentenced to five years of probation, and was ordered to pay restitution of $27,215.58. The count of the information to which Marino pled no contest, along with other court records, alleged that between August 1, 2013 through March 1, 2014, Marino, in his capacity as an associated person of Edward Jones, financially exploited an elderly client suffering from "moderate dementia" by writing and negotiating checks made out to cash from her account totaling $20,500 and by making charges totaling $6,715.58 on a credit card attached to her account, without her knowledge.

Order

Bar (Permanent)

Association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO.

Indefinite

9/24/2020

Participating in any offering of a penny stock, including: acting as a promoter, finder, consultant or agent

Indefinite

9/24/2020

FINRA

Without admitting or denying the findings, Marino consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony as requested by FINRA in connection with FINRA's investigation into allegations against Marino related to his acceptance of gifts totaling approximately $20,500 from his member firm's client and use of the client's credit card for his own benefit in the amount of approximately $6,700.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

All capacities

indefinite

8/4/2017

Client's attorney alleges the financial advisor stole money from the client from the period of November 2013 through April 2016.

$702,300.57

$600,000.00

Edward Jones

Discharged

Without prior notice to or approval from the Firm, Mr. Marino accepted gifts totaling approximately $20,500.00 from a Firm client. In addition, he was authorized to use the same client's credit card and used that card for his benefit in the amount of approximately $6,700.00.