Ngai Pham Fired from Merrill Lynch, Pierce, Fenner & Smith
Ngai Pham (CRD #: 4283798), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, was fired from the firm, according to their BrokerCheck record, accessed on October 29, 2022. If you want to know more about his conduct as a broker, read on.
Termination from Merrill Lynch, Pierce, Fenner & Smith
On August 29, 2022, Ngai Pham was fired from Merrill Lynch, Pierce, Fenner & Smith for allegedly violating firm policies regarding receiving and making changes to client-signed documents.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Making changes to client-signed documents is an automatic violation of this rule. If you suspect forgery by your broker, reach out to a securities attorney.
Ngai Pham 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
They previously worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691) and Charles Schwab & Company (CRD#:5393).
Kurta Law Can Help
If you worked with Ngai Pham and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.