{"id":2732,"date":"2016-08-08T00:00:00","date_gmt":"2016-08-08T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/utah-broker-thomas-e-andrews-permanently-barred-finra\/"},"modified":"2018-10-08T12:39:00","modified_gmt":"2018-10-08T16:39:00","slug":"utah-broker-thomas-e-andrews-permanently-barred-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/utah-broker-thomas-e-andrews-permanently-barred-finra\/","title":{"rendered":"Utah Broker Thomas E. Andrews Permanently Barred by FINRA"},"content":{"rendered":"<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignnone wp-image-2844\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Utah-Broker-Thomas-E.-Andrews-Permanently-Barred-by-FINRA.jpg\" alt=\"Utah Broker Thomas E. Andrews Permanently Barred by FINRA on silverlaw.com\" width=\"449\" height=\"299\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Utah-Broker-Thomas-E.-Andrews-Permanently-Barred-by-FINRA.jpg 960w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Utah-Broker-Thomas-E.-Andrews-Permanently-Barred-by-FINRA-300x200.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Utah-Broker-Thomas-E.-Andrews-Permanently-Barred-by-FINRA-768x512.jpg 768w\" sizes=\"auto, (max-width: 449px) 100vw, 449px\" \/><\/p>\n<h2>Misappropriation of funds, breach of fiduciary duty, and mismanagement are just a few of the allegations cited<\/h2>\n<p style=\"text-align: justify;\">Silver Law Group is investigating Thomas Edward Andrews, a broker who was employed by LPL Financial in Salt Lake City, Utah. Andrews began his career in the financial services industry in October 2002. In 2015, he was terminated after the firm received allegations from clients that he was misappropriating funds, engaging in unauthorized borrowing, mismanaging investments and that he committed breach of fiduciary duty from 2011 through 2015, among others.<\/p>\n<p style=\"text-align: justify;\">He was subsequently suspended and permanently barred by the FINRA after he failed to respond to requests for information regarding his termination and the allegations. According to his <a href=\"https:\/\/brokercheck.finra.org\/Individual\/4587953\"  target=\"_blank\"><span style=\"text-decoration: underline;\">BrokerCheck Report<\/span><\/a>, in November 2015, clients of Andrews filed a complaint claiming that he had formed fictitious trusts, provided forged application materials for <a href=\"https:\/\/www.silverlaw.com\/securities-arbitration\/annuity-and-insurance-product-losses\/\"  target=\"_blank\"><span style=\"text-decoration: underline;\">annuity products<\/span><\/a> and accepted funds from them payable to these trusts.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/utah-broker-thomas-e-andrews-permanently-barred-finra\/\"  title=\"Continue Reading Utah Broker Thomas E. Andrews Permanently Barred by FINRA\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Misappropriation of funds, breach of fiduciary duty, and mismanagement are just a few of the allegations cited Silver Law Group is investigating Thomas Edward Andrews, a broker who was employed by LPL Financial in Salt Lake City, Utah. Andrews began his career in the financial services industry in October 2002. In 2015, he was terminated [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[595],"tags":[335,336],"class_list":["post-2732","post","type-post","status-publish","format-standard","hentry","category-investment-fraud","tag-thomas-e-andrews","tag-utah-broker"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Utah Broker Thomas E. Andrews Permanently Barred by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; August 8, 2016<\/title>\n<meta name=\"description\" content=\"Check out the new article Utah Broker Thomas E. Andrews Permanently Barred by FINRA on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/utah-broker-thomas-e-andrews-permanently-barred-finra\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Utah Broker Thomas E. Andrews Permanently Barred by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; August 8, 2016\" \/>\n<meta name=\"twitter:description\" content=\"Check out the new article Utah Broker Thomas E. Andrews Permanently Barred by FINRA on silverlaw.com\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Utah-Broker-Thomas-E.-Andrews-Permanently-Barred-by-FINRA.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Utah Broker Thomas E. Andrews Permanently Barred by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; August 8, 2016","description":"Check out the new article Utah Broker Thomas E. 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Andrews Permanently Barred by FINRA on silverlaw.com","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Utah-Broker-Thomas-E.-Andrews-Permanently-Barred-by-FINRA.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/utah-broker-thomas-e-andrews-permanently-barred-finra\/","url":"https:\/\/www.silverlaw.com\/blog\/utah-broker-thomas-e-andrews-permanently-barred-finra\/","name":"Utah Broker Thomas E. 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