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Adrian Munoz Allegedly Failed to Follow Instructions

Adrian Munoz (CRD #: 7157118), a previously registered broker with Merrill Lynch, Pierce, Fenner & Smith, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on September 30, 2024. Keep reading if you have questions regarding his alleged conduct.

Investor Allegations 

On July 20, 2024, an investor alleged that Adrian Munoz failed to follow instructions related to the investment of funds from a rollover. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions may violate this rule. 

Background Information 

Adrian Munoz has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • Series 7TO General Securities Representative Examination 
  • SIE – Securities Industry Essentials Examination 

Kurta Law Can Help 

If you worked with Adrian Munoz and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

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