Ross Berman Fired from Merrill Lynch, Pierce, Fenner & Smith
Ross Berman (CRD #: 4355980), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, has been fired from that firm, according to his BrokerCheck record, accessed on March 13, 2023. Keep reading if you have questions about his alleged conduct as a broker.
Termination from Merrill Lynch, Pierce, Fenner & Smith
On February 15, 2023, Ross Berman was fired from Merrill Lynch, Pierce, Fenner & Smith after allegedly entering into a financial arrangement with a client.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Background Information
Ross Berman 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
He previously worked for the following firms:
- Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
- Vanderbilt Securities (CRD#:5953)
- Andersen Corporate Finance (CRD#:108427)
Kurta Law Can Help
If you worked with Ross Berman 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.