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Ernest McMullen Allegedly Failed to Follow Investor Instructions

Ernest McMullen (CRD #: 2158137), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, has an investor dispute on his record. This is according to his BrokerCheck record, accessed on February 11, 2022.

On February 11, 2022, an investor alleged that Ernest McMullen failed to follow instructions in November 2021. FINRA Rule 2010 requires investors to uphold high standards of commercial honor.

Background Information

Ernest McMullen has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 Futures Managed Funds Examination
  • Series 7 General Securities Representative Examination
  • Series 51 Municipal Fund Securities Principal Examination
  • Series 4 Registered Options Principal Examination
  • Series 24 General Securities Principal Examination

He is a registered broker in 30 states and D.C. He is also a registered investment adviser in Florida and Texas.

Ernest McMullen has worked for the following firms:

  • Banc of America Investment Services (CRD #: 16361)
  • Raymond James Financial Services (CRD #: 6694)
  • Noble International Investments (CRD #: 15768)
  • Prudential Securities Incorporated (CRD #: 7471)
  • W. Gant & Associates (CRD #: 7963)

Kurta Law Can Help

If you worked with Ernest McMullen 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. 

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