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Mitchell Wurtsmith Terminated by Merrill Lynch

Mitchell Wurtsmith (CRD #: 7543664) was fired by Merrill Lynch, Pierce, Fenner & Smith. This disclosure appears on his BrokerCheck record, accessed on October 6, 2023. Details regarding his termination are provided below. 

On August 29, 2023, Merill Lynch, Pierce, Fenner & Smith fired Mitchell Wurtsmith following allegations that he made inaccurate entries into an internal system used to track client interactions. 

FINRA 4511

FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records. Failing to accurately track client interactions would violate this rule. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 4511 may also violate this rule. 

Background Information 

Mitchell Wurtsmith has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 

In his one year as a registered representative, he has only registered with Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691). 

Kurta Law Can Help

If you worked with Mitchell Wurtsmith and have concerns about your investments, please contact us today at 877-600-0098 or 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 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.