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Matthew Murray Fired from Merrill Lynch

May 27, 2022 Fired Brokers

Matthew Murray (CRD #: 4603108), a former broker, was fired from his previous firm, according to his BrokerCheck record, accessed on May 19, 2022. If you have questions about Matthew Murray’s conduct as a broker, read on.

Discharge from Merrill Lynch, Pierce, Fenner & Smith

On February 28, 2022, Matthew Murray was fired from Merrill Lynch, Pierce, Fenner & Smith for allegedly making inaccurate entries into an internal firm system used to track client interactions.

FINRA Rules 4511 and 2010

FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records. 

Violations of this rule, and many other regulations, may also automatically violate FINRA Rule 2010, which requires that brokers uphold high standards of commercial honor.

Background Information

Matthew Murray has passed the following exams:

  • Series 66 - Uniform Combined State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination

Previously, he worked for the following firms:

  • TD Ameritrade (CRD#:7870)
  • Fidelity Brokerage Services (CRD#:7784)
  • Merrill Lynch, Pierce, Fenner & Smith(CRD#:7691)
  • Banc of America Investment Services (CRD#:16361)
  • Chase Investment Services (CRD#:25574)
  • Banc One Securities (CRD#:16999)
  • American Express Financial Advisors (CRD#:6363)
  • IDS Life Insurance Company (CRD#:6321)

Kurta Law Can Help

If you worked with Matthew Murray 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.