LOUISVILLE, KENTUCKY

Are you a former customer of Sean Carnell Smith, formerly with Edward Jones, in Louisville, Kentucky? His BrokerCheck Report (See PDF below) shows that he was fired by Edward Jones in August 2023. Sean Smith had been licensed with Edward Jones since February 2018.

FINRA’s BrokerCheck report reveals that Edward Jones terminated his registration regarding “concerns [Smith] did not adhere to the Firm’s selling away policy”. Essentially, selling away is when a financial advisor sells investments or products that were not approved by his or her brokerage firm.

With securities brokerage licenses, Sean Carnell Smith had a duty to follow FINRA rules while working with his brokerage firm. This includes FINRA Rule 3280, which requires brokers or advisor to disclose to their brokerage firms all investments sold by the advisor.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Seattle, and Phoenix. We represent investors all over the country, including investors in Kentucky.

VIEW BROKERCHECK REPORT HERE

If you lost money with Sean Carnell Smith or Edward Jones, please Contact Us at 206-795-5798 for a free evaluation of your case.