FINRA opened an investigation into George N. Jing after he was terminated by his former brokerage firm, TransAmerica Financial Advisors.  According to a regulatory document called a Form U-5, TransAmerica disclosed that Jing was discharged for his alleged participation “in an undisclosed outside business activity and/or an undisclosed private securities transaction”.  Under FINRA Rules, brokers are required to disclose any business activity that they are involved in, if it potentially involves some kind of compensation.  The securities arbitration Law Firm of Israels & Neuman is looking into whether customers can recover their losses.

The Form U-5 filing by TransAmerica triggered an investigation by FINRA.  It is a violation of FINRA Rule 8210 to refuse to respond to or cooperate with a FINRA investigation.  Violations of FINRA Rule 8210 often result in suspensions or expulsions from the securities brokerage industry, and George Jing was barred by FINRA for this reason.

George Jing’s Industry History

George N. Jing was affiliated with TransAmerica Financial Advisors from 2012 to August 2025.  He has been in the securities industry since 1997 and worked in a Rockville, Maryland office.  He also ran a company called Jing Realty.

Potential Liability of TransAmerica Financial Advisors

Under FINRA Rules, broker-dealers like TransAmerica Financial Advisors must reasonably supervise the activities of their representatives.  If the firm did not adequately supervise Jing, it could be liable to its customers for any investor harm.

Israels & Neuman represents investors in Maryland who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of George Jing and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View George Jing FINRA AWC
• View his BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

Were you a client of Luke Lannister of Grove Point Investments in Rockville, Maryland? If you lost money investing with Lannister, you may have legal options to recover your losses. Call the law office of Israels & Neuman for a free and confidential case review.

FINRA Allegations Against Luke Lannister

FINRA brought a regulatory action against Lannister, alleging that Lannister engaged in discretionary trading in customer accounts without having written authorization to do so.  Discretionary trading occurs when an advisor effects trades in an account without getting specific authority to make each transaction from the client prior to each trade.  Lannister alleged that the customers generally understood that Lannister was engaging in such trading, but FINRA alleged that no written authorization was made for such.  To settle these allegations, Lannister agreed to a two-month suspension and a $5,000 fine.

Background on Luke Lannister

Luke Lannister had been a representative of Grove Point Investments (formerly known as H. Beck) between February 2021 and November 2023.  He was also previously licensed with Cuso Financial and Capital One.  He worked at a Rockville, Maryland office.  Lannister has been the subject of three customer complaints since 2022, and he was also terminated by H. Beck/Grove Point Investments for the discretionary trading allegations.

What Are My Rights as an Investor?

Maryland investors have the right to pursue claims through FINRA arbitration, a legal forum designed to help recover funds lost due to broker misconduct or unsuitable investment recommendations.

Luke Lannister may be individually liable for misrepresentation, unsuitable advice, or breach of fiduciary duty. However, Grove Point Investments may also bear responsibility if they failed to properly supervise Lannister or ignored warning signs.

We Represent Investors in Rockville and Across Maryland

At Israels & Neuman, we have helped thousands of investors nationwide recover money lost to financial advisor misconduct and represent investors throughout Maryland. Our attorneys have extensive experience handling claims involving Grove Point Investments.

Find Lannister’s FINRA AWC here

Find Lannister’s BrokerCheck report here

Free Case Review — Speak to a Securities Fraud Attorney Today

If you invested with Luke Lannister, contact us for a free case evaluation. We always offer Free Consultations. If we take your case, we do so on a contingency fee basis—which means there are no attorney fees unless we recover money for you!

(720) 599-3505 or (206) 795-5798

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.

ANNAPOLIS, MARYLAND Did you invest in oil and gas with Jeffrey Furniss from Annapolis, Maryland? Our firm is reviewing allegations made by several customers who filed claims against his brokerage firm, Lincoln Financial Advisors.

According to FINRA’s BrokerCheck, Mr. Furniss has been the subject of five customer complaints, two of which are still pending. The pending complaint alleges that he sold unsuitable oil and gas investments, which allegedly lost a combined $175,000. The complaint was part of a class action lawsuit. Two other complaints involving oil and gas investments from 2022 have already been settled.

Since 2005, Jeffrey Furniss has worked in an Annapolis, Maryland office for Lincoln Financial Advisors. He also operates Charter Financial Group in Annapolis.

Under FINRA Rules, Furniss must make investment recommendations that are suitable for the customer. Brokerage firms must perform due diligence on all investment products it sells. If it failed to adequately perform due diligence, Lincoln Financial Advisors could be liable for investor losses.

BrokerCheck report can be seen HERE

If you lost money with Jeffrey Furniss or Lincoln Financial Advisors, please Contact Us at 206-795-5798 for a free evaluation of your case.

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.

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

If you lost money with Daniel Jossen or NYLife Securities, please CONTACT US at 720-599-3505 for a free evaluation of your case.