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Clarisse Tur Allegedly Engaged in Unauthorized Trading

Clarisse Tur (CRD #: 6093990), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of two investor disputes. These disclosures appear on her BrokerCheck record, accessed on December 19, 2023. Keep reading if you have questions regarding her alleged conduct. 

Two disputes filed in November of 2023 allege that Clarisse Tur engaged in unauthorized trading. 

What is Unauthorized Trading?

Unauthorized trading violates FINRA Rule 3260, which limits brokers to engaging in discretionary trading only in pre-authorized accounts. Both the firm and the client must approve an account before discretionary trading can occur.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized trading also violates this rule. 

Background Information 

Clarisse Tur has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

She is a registered broker in 17 states and is a registered investment adviser in Ohio and Texas. 

Kurta Law Can Help 

If you have worked with Clarisse Tur and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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