National investment loss lawyers KlaymanToskes is investigating broker Emily Smith (CRD# 6287728) of Raymond James, who has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following allegations that she falsified documents by reusing customer signature pages and altering customer-signed documents, causing her member firm to maintain inaccurate books and records.
Smith was registered with Raymond James Financial Services from 2019 to July 2023 in Vero Beach, FL. On July 7, 2023, Raymond James filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that it had discharged Smith and that she allegedly engaged in “[c]onduct inconsistent with firm policies on document integrity.”
According to FINRA, between April and December 2022, Smith allegedly reused customer signature pages on seven firm documents, including four customer agreements, two transfer forms, and a rollover election form, on behalf of six customers. In addition, between January and November 2022, Smith allegedly altered 18 documents, including account applications and transfer forms, by adding information such as account numbers, dates, and policy names to the documents after they were signed by nine customers.
Investors that suffered losses with broker Emily Smith are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at lawrence@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The articles linked below contain important information relating to KlaymanToskes’ investigation of broker Emily Smith:
If you suffered losses with broker Emily Smith, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million* for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
*Exclusive of attorneys fees and costs.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Emily Smith. These signs could potentially indicate broker misconduct, negligence, or investment fraud. Investors are encourage to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
According to FINRA, brokerage firms such as Raymond James are responsible for the supervision of all of the activities of their registered brokers and investment advisors. Investors may be entitled to a financial recovery if their brokerage firm failed to supervise the representative managing their brokerage account, and/or if their broker/advisor made unsuitable investment recommendations.
Engaging the services of an experienced securities attorney to evaluate the specific circumstances of your case is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Emily Smith, or have concerns regarding your investment portfolio at Raymond James, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation to discuss recovery options.