Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Egber (Egber), previously associated with Steward Partners Investment Solutions, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Egber recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on April 26, 2024.
Without admitting or denying the findings, Egber consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation of allegations made on an amended Form U5 filed by his member firm. The findings stated that the firm was reviewing allegations of possible theft of client funds by Egber. The findings also stated that Egber refused to appear for on-the-record testimony requested by FINRA.