Neil Cohen Allegedly Failed to Respond to FINRA Requests for Information
Neil Cohen (CRD #: 2694815) has been suspended by FINRA. This disclosure appears on his BrokerCheck record, accessed on September 11, 2025. Keep reading if you have questions regarding his alleged conduct.
Regulatory Action
On June 11, 2025, Neil Cohen allegedly failed to respond to FINRA requests for information.
The suspension will continue until the required information is provided, or the suspension will convert to a bar on September 15, 2025.
Employment Separation After Allegations
On March 12, 2024, Merrill Lynch, Pierce, Fenner & Smith Incorporated fired Neil Cohen following allegations that he had engaged in conduct inconsistent with firm standards regarding personal brokerage accounts.
High Standards of Commercial Honor
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Not adhering to firm standards regarding a personal brokerage account violates this rule.
Background Information
Neil Cohen 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
Neil Cohen has registered with the following firms since 2020:
- Prudential Securities Incorporated (CRD #: 7471)
- Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
- MetLife Securities (CRD #: 14251)
Kurta Law Can Help
If you worked with Neil Cohen 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 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.