Jessie Ducos Fired from Merrill Lynch, Pierce, Fenner & Smith
Jessie Ducos (CRD #: 6526342), a former broker, was fired from their firm, according to their BrokerCheck record, accessed on April 14, 2022. Read on if you have questions about Jessie Ducos’s conduct as a broker.
Discharge from Merrill Lynch, Pierce, Fenner & Smith
Jessie Ducos was fired from Merrill Lynch, Pierce, Fenner & Smith after allegedly failing to track client interactions in the firm’s internal system and failing to disclose their personal trading activities according to firm standards.
FINRA Rule 3270 and Rule 3280
FINRA Rule 3280 concerns the private securities transactions of brokers. These rules require brokers to inform their firm about any compensation they receive outside of their work as a broker, as well as any private securities transactions they perform.
Jessie Ducos has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
- Series 10 – General Securities Sales Supervisor – General Module Examination
- Series 9 – General Securities Sales Supervisor – Options Module Examination
Previously, they worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691).
Kurta Law Can Help
If you worked with Jessie Ducos and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.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.