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Jessica Fino Voluntarily Resigned from Merrill Lynch

Jessica Fino (CRD #: 5799540) has voluntarily resigned from Merrill Lynch. She is still registered as an investment advisor with Lido. This disclosure appears on her BrokerCheck record, accessed on July 12, 2024. Keep reading if you have questions regarding her alleged conduct. 

Employment Separation After Allegations 

On May 19, 2024, Jessica Fino voluntarily resigned from Merrill Lynch, Pierce, Fenner & Smith Incorporated following allegations that she altered a client document. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Altering a client document may violate this rule. 

Background Information 

Jessica Fino has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 3 National Commodity Futures Examination 
  • Series 7 General Securities Representative Examination 

During his 12 years of experience, Jessica Fino has registered with two firms: Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) and LEK Securities Corporation (CRD #: 33135). 

Kurta Law Can Help 

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

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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