Merrill Lynch Stockbroker Terminated For Unauthorized Trading
Brooke Ashley Clements, of Greenwood Village, Colorado, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, was terminated by the firm on May 1, 2015, based upon allegations that Clements effected transactions in customer accounts on a discretionary basis, when the firm did not authorize time and place based discretion to be exercised by Clements.
Since July 3, 2015, Clements has been registered with First Financial Equity Corporation.
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