Tag Archives: Ethan De Naray

Merrill Lynch Broker Suspended For Unauthorized Trading

August 13, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Ethan De Naray of Minneapolis Minnesota a stockbroker formerly employed by Merrill Lynch Pierce Fenner Smith Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he improperly exercised discretion in customer accounts and mismarked customer order tickets. Letter […]

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