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Teresa Sanchez Resigns from Merrill Lynch, Pierce, Fenner & Smith

Teresa Sanchez (CRD #: 1856061), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, resigned from the firm following alleged misconduct, according to her BrokerCheck record, accessed on June 8, 2023. Read on if you have questions about her alleged conduct as a broker.

Resignation from Merrill Lynch, Pierce, Fenner & Smith

On April 3, 2023, Teresa Sanchez resigned from Merrill Lynch, Pierce, Fenner & Smith after allegedly failing to provide at least one client with certain account-related document(s) in full.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Teresa Sanchez 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

She previously worked for the following firms:

  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • PaineWebber (CRD#:8174)
  • Dean Witter Reynolds (CRD#:7556)

Kurta Law Can Help

If you worked with Teresa Sanchez 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. 

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