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Daniella Rand Resigns from Merrill Lynch, Pierce, Fenner & Smith

Sep 23, 2022 Employment

Daniella Rand (CRD #: 4321414), a broker registered with International Assets Advisory, resigned from her previous firm, according to her BrokerCheck record, accessed on September 18, 2022. Investors may have also worked with her through Global Assets Advisory or International Assets Investment Management. Keep reading to learn more about her conduct as a broker.

Resignation from Merrill Lynch, Pierce, Fenner & Smith

On June 27, 2022, Daniella Rand resigned from Merrill Lynch, Pierce, Fenner & Smith after allegedly engaging in misconduct. She allegedly conducted business in a state where she lacked the proper registration and by communicating with a client using a personal device.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 4511 

FINRA Rule 4511 requires brokers to maintain accurate books and records. This means that brokers must only communicate with investors using approved channels. 

Tax Lien and Bankruptcy

On May 20, 2022, Daniella Rand was subjected to a $226,308.84 tax lien.

On March 30, 2022, Daniella Rand filed for bankruptcy.

Discharge from Morgan Stanley Smith Barney

On March 6, 2017, Daniella Rand was fired from Morgan Stanley Smith Barney following allegations that she misused telephone caller I.D. information in a call with a client and provided incomplete and inaccurate information to the firm when they conducted reviews of her activities.

Background Information

Daniella Rand has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

Daniella Rand is a registered broker and a registered investment adviser in California.

She has also worked for the following firms:

  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Morgan Stanley (CRD#:149777)
  • Morgan Stanley & Company (CRD#:8209)
  • Morgan Stanley (CRD#:7556)

Kurta Law Can Help

If you worked with Daniella Rand and you have concerns about your investments, please contact us today at 877-600-0098 or 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.