Tyler Dean Delahunt of Atlanta Georgia a stockbroker formerly registered with Merrill Lynch has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to provide documents and information to FINRA when it investigated him for outside business activities and private securities transactions. Letter of Acceptance Waiver and Consent No. 2020067348701 (Jan. 25, 2021).
According to the AWC, Merrill Lynch told FINRA on August 31, 2020 that Delahunt was terminated founded on allegations of him soliciting customers for financial arrangements and outside investment opportunities.
Delahunt was investigated by FINRA following its receipt of Merrill Lynch’s information. FINRA tried to determine whether he engaged in private securities transactions with customers without first notifying Merrill Lynch and securing its approval. The regulator also sought information on Delahunt’s possible acceptance of loans from customers without him telling Merrill Lynch about them first and getting permission.
On September 18, 2020, FINRA asked Delahunt to provide documents and information. Delahunt told the regulator on December 10, 2020 that he understood what was requested of him and that he would not provide anything in response. Delahunt violated FINRA Rules 2010 and 8210 for obstructing FINRA’s investigation.
Delahunt was registered with Merrill Lynch between October 27, 2016 and August 3, 2020.
