Emily Smith Received FINRA Suspension, Fine

FINRA suspended and fined securities broker Emily Jean Smith (also known as Emily Jean Hinton) [CRD: 6287728, Vero Beach, Florida], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Emily Smith worked for Raymond James Financial Services Inc. from July 15, 2019, to July 7, 2023. Continue reading to learn more about Smith’s professional conduct and the disclosures about her.

FINRA Fined Smith For Document Falsification

On March 13, 2024, FINRA issued sanctions against Smith for document falsification. Specifically, Smith received a $5,000 fine and a 4-month suspension as part of the sanctions imposed.

Emily Smith's regulatory issues stem from her actions while employed at Raymond James Financial Services  Inc., and a Form U5 indicating her discharge as securities broker due to conduct inconsistent with firm policies on document integrity.

According to FINRA's findings, which Smith accepted without admitting or denying fault, she engaged in a pattern of falsifying documents crucial for client transactions. The infractions involved the unauthorized alterations to signed documents and reuse of client signature pages. Supposedly, Smith reused signature pages on different documents for clients, including two transfer forms, client agreements, and a rollover election form.

Also, she altered 18 documents, such as account transfer forms, by adding unauthorized information like account dates, numbers, and policy names post-signature. Notably, Smith's actions led to the maintenance of inaccurate books by her employer, violating both FINRA Rules 4511 and 2010.

Seek Recovery For Your Losses With Emily Smith

Have you sustained losses because of Emily Smith? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors across the country, works on a contingency fee basis, and advances all costs. Smith and the brokerage firms she worked for deny accusations of sales practice violations.