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Ngai Pham Fired from Merrill Lynch, Pierce, Fenner & Smith

Nov 3, 2022 Fired Brokers

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. 

Background Information

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 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.