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.
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