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Mark Sorrell Terminated by Merrill Lynch, Pierce, Fenner & Smith

Mark Sorrell (CRD #: 1206577) has been fired by Merrill Lynch, Pierce, Fenner & Smith. This disclosure appears on his BrokerCheck record, accessed on October 4, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On August 22, 2024, Merrill Lynch, Pierce, Fenner & Smith fired Mark Sorrell following allegations that he provided inaccurate proof of funds letter on behalf of a client.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Providing an inaccurate proof of funds letter may violate this rule. 

Background Information

Mark Sorrell has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 3 National Commodity Futures Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination 
  • Series 22 Direct Participation Programs Representative 

He is a registered broker with four firms: 

  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • Barclays Capital (CRD #: 19714) 
  • Sanford C. Bernstein (CRD #: 104474) 
  • Horne Securities Corporation (CRD #: 10565) 

Kurta Law Can Help 

If you worked with Mark Sorrell and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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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