Zachary Thomas Rawson of Indianapolis Indiana a stockbroker formerly employed by Merrill Lynch Pierce Fenner Smith Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that he declined to cooperate with FINRA’s request for details about his business activities. Case No. 2017055785201 (May 3, 2018).
FINRA Public Disclosure reveals that Rawson had been notified by FINRA about his suspension via a January 30, 2018 letter, and his suspension went into effect on February 23, 2018. Rawson was required to provide FINRA with the requested information to have his suspension lifted by May 3, 2018, but he failed to cooperate, resulting in Rawson having been barred from the securities industry by FINRA on May 3, 2018.
Rawson was discharged from Merrill Lynch on September 18, 2017 based upon allegations that he engaged in undisclosed outside business activities; conduct violative of the firm’s policy.
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com[contact-form-7 404 "Not Found"]