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Home » Broker Blog » Tatiana Zurek Voluntarily Resigned from Merrill Lynch Following Allegations

Tatiana Zurek Voluntarily Resigned from Merrill Lynch Following Allegations

Aug 7, 2023 Employment

Tatiana Zurek (CRD #: 4079846), a broker registered with Oppenheimer & Co., has voluntarily resigned from Merrill Lynch, Pierce, Fenner & Smith following allegations. This disclosure appears in her BrokerCheck record, accessed on August 4, 2023. Concerned investors should keep reading. 

On June 23, 2023, Tatiana Zurek voluntarily resigned from Merrill Lynch, Pierce, Fenner & Smith. The firm alleged that she failed to make entries into an internal system that tracks client interactions. 

FINRA Rule 4511

FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records. Failure to track client interactions may violate this rule. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 4511 also violate FINRA Rule 2010. 

Background Information 

Tatiana Zurek has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

She is a registered broker in 10 states and is a registered investment adviser in Florida. 

Tatiana Zurek has registered with the following firms: 

  • Oppenheimer & Co. (CRD #: 249) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 

Kurta Law Can Help

If you worked with Tatiana Zurek and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

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