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Investor Alleges Maria Estes Failed to Follow Instructions

Maria Estes (CRD #: 5912693), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly failed to follow instructions, according to her BrokerCheck record, accessed on August 28, 2022. If you want to know more about her conduct as a broker, read on.

Investor Dispute

On June 30, 2022, an investor alleged that Maria Estes failed to follow instructions from April to June 2022.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of professional honor and just and equitable principles of trade. Failure to follow instructions violates this rule. 

Background Information

Maria Estes 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 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Maria Estes is a registered broker in 14 states and Puerto Rico. She is also a registered investment adviser in New York and Texas.

She has also worked for the following firms:

  • J.P. Morgan Securities (CRD#:79)
  • John Hancock Distributors (CRD#:5249)
  • CCO Investment Services Corporation (CRD#:39550)

Kurta Law Can Help

If you worked with Maria Estes 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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