Bethesda - Israels & Neuman, PLC

COURTNEY SMITH of Spire Securities is SUSPENDED by FINRA

Israels & Neuman, PLC — Sun, 18 Aug 2024 17:58:18 GMT

Spire Securities Fires Advisor Courtney Smith

BETHESDA, MARYLAND Are you a former customer of financial advisor Courtney Smith from Bethesda, Maryland? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against this advisor. She was fired by Spire Securities Financial Services in March 2024 after it was alleged that she transferred funds from at least one client’s account, without authorization, to one of her own accounts. Additionally, Ms. Smith is suspended by FINRA for refusing to respond to a FINRA investigation.

Courtney Smith had been with Spire Securities from March 2022 to March 2024. She also previously worked with Hightower Securities and worked in Bethesda, Maryland and McLean, Virginia.

Brokerage firms are required to have written supervisory and compliance procedures under securities rules and regulations. If the brokerage firm failed to reasonably supervise their advisor, it may be held liable for customer losses.

Our investment fraud firm has represented numerous investors throughout Maryland and have sued dozens of brokerage firms in the past.

View Brokercheck Report Here.

If you lost money with Courtney Smith or Spire Securities, please Contact Us at 206-795-5798 for a free evaluation of your case.

ANDREW EGBER of Wells Fargo is BARRED

Israels & Neuman, PLC — Wed, 01 May 2024 20:09:55 GMT

Andrew Egber, Formerly with Wells Fargo, Barred by FINRA from the Securities Industry

BETHESDA, MARYLAND Are you a former client of Andrew Egber in Bethesda, Maryland? The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations against Andrew Egber, who previously worked with Wells Fargo, Raymond James, and Steward Partners Investment Solutions.

He was barred by FINRA after he refused to respond to an investigation. In February 2024, Wells Fargo had filed a disclosure with FINRA that a customer alleged that the customer made an investment with Egber and that the investment funds were not returned. That led to a FINRA investigation which he refused to comply with.

Andrew Egber was registered with Wells Fargo from 2009 to January 2018. He was also with Raymond James from January 2018 to May 2022 and with Steward Partners Investment Solutions from May 2022 to April 2024. He worked in Bethesda, Maryland.

Israels & Neuman has represented over 1,000 investors in the past, including numerous investors in Maryland. Our firm has sued many brokerage firms in the past.

FINRA AWC can be found HERE View BrokerCheck Report HERE

If you lost money with Andrew Egber, or Wells Fargo, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

Investor Alert: DANIEL JOSSEN of NYLife is BARRED

Israels & Neuman, PLC — Tue, 29 Jun 2021 19:55:34 GMT

BETHESDA, MARYLAND – Have you lost money with financial advisor Daniel Don Jossen? We are looking into allegations made about Daniel Jossen from Bethesda, Maryland. FINRA (the Financial Industry Regulatory Authority) barred Jossen from the securities industry. FINRA alleged that Jossen has failed to respond to its investigation regarding allegations that he misrepresented the terms of variable products and used a customer’s log-in at an outside brokerage firm to process financial transactions.

Daniel Jossen was a financial advisor and registered representative of NYLife Securities from 2011 to February 2021. He worked in a branch office in Bethesda, Maryland. Jossen also was permitted to resign by NYLife Securities.

Brokerage firms like NYLife Securities have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Ann Arbor, Michigan; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout Maryland. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

View BrokerCheck: Jossen, D. BrokerCheck 6.28.21

View FINRA AWC: Jossen, D. FINRA AWC