Anthony Acevedo Fired from Merrill Lynch, Pierce, Fenner & Smith
Anthony Acevedo (CRD #: 6403849), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, was fired from the firm, according to his BrokerCheck record, accessed on October 24, 2022. Keep reading if you have questions about his conduct as a broker.
Termination from Merrill Lynch, Pierce, Fenner & Smith
On September 9, 2022, Anthony Acevedo was fired from Merrill Lynch, Pierce, Fenner & Smith following alleged misconduct, including failure to disclose an outside business activity and entering into a financial arrangement with a colleague.
FINRA Rule 3270
FINRA Rule 3270 requires brokers to inform their firms before they engage in any outside business activities. Brokers must also receive approval before they participate in these activities.
Other business activities
Anthony Acevedo’s detailed BrokerCheck report does not currently list any outside business activities.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Background Information
Anthony Acevedo has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
He previously worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691).
Kurta Law Can Help
If you worked with Anthony Acevedo and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.