Blake Wayne Eskew of Atlanta, Georgia, a stockbroker registered with Merrill Lynch Pierce Fenner Smith Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Eskew failed to testify during the time that FINRA investigated the stockbroker for possible violations of FINRA rules. Letter of Acceptance, Waiver, and Consent No. 2022074906201 (February 16, 2023).
According to the AWC, Eskew refused to appear for testimony relating to a FINRA investigation concerning allegations that Eskew accepted a trade without proper authorization during the time that he was associated with Merrill Lynch. FINRA’s investigation stems from an investigation conducted by Merrill Lynch at the time of his termination. The securities broker dealer also concluded that Eskew altered an email that the firm requested.
In connection with FINRA’s investigation, on December 5, 2022, Eskew was sent a request to appear for testimony concerning the allegations. He was supposed to appear on January 20, 2023, but failed to show up. On January 23, 2023, Eskew indicated through an email to FINRA that he received its request but would not testify at any time. Therefore, Eskew violated FINRA Rules 2010 and 8210.
Eskew’s registration with Merrill Lynch was terminated on March 29, 2022.
