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 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.
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).
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If you worked with Mitchell Wurtsmith and have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
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