James Anthony Merkel of Frederick, Maryland, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been fired on August 21, 2017, based upon allegations that he sold away from his firm and that his private securities transactions were violative of the firm’s policies.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that a customer filed an investment related arbitration claim involving Merkel’s conduct, in which the customer requested $1,000,000.00 in damages based upon accusations that Merkel made misrepresentations and omissions to the customer, as well as unsuitable investment recommendations in reference to the customer’s options holdings. FINRA Arbitration No. 16-01593 (June 9, 2016).
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