Former Merrill Lynch broker barred for hearing no-show

Finra was investigating Tyler Harris over his personal banking activity.
APR 13, 2018
By  Bloomberg

The Financial Industry Regulatory Authority Inc. has barred former Merrill Lynch broker Tyler Harris for not appearing at a hearing looking into his personal banking transactions. Merrill Lynch terminated Mr. Harris in August 2017, giving its reason on Finra's BrokerCheck site as the result of a "loss of management's confidence resulting from conduct inconsistent with firm standards related to personal bank accounts." His conduct "did not involve clients or client accounts of Merrill Lynch, Pierce, Fenner & Smith Inc.," the firm said. Mr. Harris began his securities career in 2010 when he joined Merrill Lynch in Philadelphia, Pa.

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