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Raul Rohr Fired from Merrill Lynch Pierce, Fenner & Smith Following Alleged Misconduct

Sep 23, 2022 Fired Brokers

Raul Rohr (CRD #: 4946818), a broker registered with Bolton Global Capital, was fired from his previous firm, according to his BrokerCheck record, accessed on September 18, 2022. Read on if you have questions about his conduct as a broker.

Termination from Merrill Lynch Pierce, Fenner & Smith

On July 6, 2022, Raul Rohr was fired from Merrill Lynch Pierce, Fenner & Smith after alleged misconduct, including the provision of client account credentials to a third party.

Regulation S-P

Regulation S-P is a Securities and Exchange Commission regulation that requires firms to inform clients of how their personal information is used and allow clients to opt-out of having their personal information shared with third parties.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Raul Rohr has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Raul Rohr is a registered broker in California, Missouri, and New York.

He has also worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691) and AXA Advisors (CRD#:6627).

Kurta Law Can Help

If you worked with Raul Rohr 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.