Alicia M. Hinojosa Gutierrez (also known as Alicia Myrthala Hinojosa and A. M. Hinojosa Gutierrez), of New York, New York, a stockbroker registered with Merrill Lynch Pierce Fenner Smith Inc., was discharged on April 29, 2021, based upon allegations that she made unapproved financial arrangements with a customer and used unauthorized means to communicate with the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Gutierrez is the subject of a customer initiated investment related complaint filed on March 18, 2021, in which the customer requested damages based upon allegations that Gutierrez borrowed money from them when Gutierrez was associated with Merrill Lynch Pierce Fenner Smith Inc.
Gutierrez was associated with Merrill Lynch Pierce Fenner Smith Incorporated in New York, NY, as a stockbroker from October of 2016 to May of 2021, and as an investment advisor representative from January of 2016 to May of 2021. Gutierrez has been associated with Safra Securities LLC in New York, NY, as a stockbroker since March 11, 2022.
