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Tony Golden Terminated by Merrill Lynch

Tony Golden (CRD #: 2940139) has been fired by Merrill Lynch, Pierce, Fenner & Smith. This is according to his BrokerCheck record, accessed on September 6, 2025. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On June 26, 2025, Merrill Lynch, Pierce, Fenner & Smith fired Tony Golden following allegations that he exercised time and price discretion in a client’s account. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Exercising time and price discretion may violate this rule. 

Background Information 

Tony Golden has passed the following exams: 

  • Series 24 General Securities Representative Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 87 Research Analyst Exam – Part II Regulations Module
  • Series 86 Research Analyst Exam – Part I Analysis Module 
  • Series 66 Uniform Combined State Law Examination
  • Series 63 Uniform Securities Agent State Law Examination 

He has registered with the following firms: 

  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • CitiGroup Global Markets (CRD #: 7059) 
  • Ascend Financial Services (CRD #: 15296) 

Kurta Law Can Help

If you worked with Tony Golden 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 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. 

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