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Thomas Clark Resigns from Merrill Lynch, Pierce, Fenner & Smith

Thomas Clark (CRD #: 722308), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly violated firm policies, according to his BrokerCheck record, accessed on May 9, 2023. Read on if you want to learn more about his alleged conduct as a broker.

Resignation from Merrill Lynch, Pierce, Fenner & Smith

On March 21, 2023, Thomas Clark resigned from Merrill Lynch, Pierce, Fenner & Smith following alleged misconduct, including violations of firm policies concerning electronic communication.

FINRA Rule 2010

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

Background Information

Thomas Clark 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 Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691) and Dean Witter Reynolds (CRD#:7556).

Kurta Law Can Help

If you worked with Thomas Clark 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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