Victim of Financial Fraud? Call Now

Andrew Smith Fired from U.S. Bancorp Investments

Andrew Smith (CRD #: 4358601), a broker formerly registered with U.S. Bancorp Investments, allegedly engaged in misconduct, according to his BrokerCheck record, accessed on February 15, 2023. Read on to learn more about his alleged conduct as a broker.

Termination from U.S. Bancorp Investments

On December 9, 2022, Andrew Smith was fired from U.S. Bancorp Investments after allegedly creating false documentation for annual client account reviews that did not actually occur.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Creating false documentation would violate this rule. 

Background Information

Andrew Smith has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 24 – General Securities Principal Examination

He previously worked for the following firms:

  • U.S. Bancorp Investments (CRD#:17868)
  • J.P. Morgan Securities (CRD#:79)
  • New England Securities (CRD#:615)
  • NYLIFE Securities (CRD#:5167)

Kurta Law Can Help

If you worked with Andrew Smith and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.