Ronald Senegal Fined by New York State Department of Financial Services

Ronald Senegal (CRD #: 1511146), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on April 8, 2024. Keep reading if you have questions regarding his alleged conduct. 

Regulatory Action 

On February 2, 2024, New York State Department of Financial Services fined Ronald Senegal $750 following allegations that he failed to disclose a reportable event on his application submitted to the Department of Financial Services of New York. 

High Standards of Commercial Honor 

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

Background Information

Ronald Senegal has passed the following exams: 

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 10 General Securities Sales Supervisor – General Module Examination 
• Series 24 General Securities Representative Examination 

He is a registered broker in 29 states and D.C. He is also a registered investment adviser in D.C., Texas, and Virginia. 

During his 37 years of experience, Ronald Senegal has registered with the following firms: 

• Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
• Morgan Stanley (CRD #: 149777) 
• CitiGroup Global Markets (CRD #: 7059) 
• Lehman Brothers (CRD #: 7506) 
• Blinder, Robinson & Co. (CRD #: 5096) 

Kurta Law Can Help 

If you have worked with Ronald Senegal and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.