Andrew Mack – Former RAYMOND JAMES FINANCIAL SERVICES, INC. Broker Suspended by FINRA – May Recover Investor Losses
Former RAYMOND JAMES FINANCIAL SERVICES, INC. Broker, Andrew Mack Suspended by FINRA.
CRD#: 5932062
Andrew Steven Mack (CRD#: 5932062), an advisor for Tempus Advisors in Greenwich, CT iwas recently suspended for three-months after the broker consented to FINRA sanctions.
According to the FINRA AWC, Without admitting or denying the findings, Mack consented to the sanctions and to the entry of findings that he exercised discretion without written authorization in connection with trades in customer accounts. The findings stated that although the customers understood that Mack was conducting trading in their accounts, none had given him prior written authorization and his member firm had not accepted the accounts as discretionary. For six months during the relevant period, Mack was on a heightened supervision plan that prohibited his exercise of discretion, yet he placed discretionary trades without written authorization in customer accounts during that time. Furthermore, Mack inaccurately stated that he did not exercise discretion in customer accounts on three of the firm’s annual compliance questionnaires.
Mack was also fined $10,000.00 by FINRA.
Andrew Mack – Former RAYMOND JAMES FINANCIAL SERVICES, INC. Broker Suspended by FINRA
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $500 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 7/29/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.