DID MARK STEPHEN SORRELL CAUSE YOU INVESTMENT LOSSES?
Mark Sorrell Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated was recently fired following allegations of providing inaccurate proof of funds letter on behalf of a client.
Who is Mark Sorrell formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated?
Mark Sorrell (CRD #1206577) who was formerly registered as a broker with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Houston, Texas, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Mark Sorrell Employment History and Termination
- Mark. Sorrell has over 40 years in the securities industry, beginning in 1983. He was registered with four firms, most recently with Merrill Lynch, Pierce, Fenner & Smith from September 2015 to September 2024. His previous registrations included Barclays Capital Inc. and Sanford C. Bernstein & Co., with his experience spanning investment representation and advisory roles.
- Sorrell’s experience includes roles as a financial advisor and investment representative, with responsibilities in client service and securities transactions. He has successfully passed five general industry exams and two multi-state securities law exams.
- His departure from Merrill Lynch was linked to allegations of issuing inaccurate client documentation, specifically a proof of funds letter.
Negative Disclosures Summary
- Termination:
- Date: August 22, 2024
- Employer: Merrill Lynch, Pierce, Fenner & Smith Incorporated
- Allegation: Provided an inaccurate proof of funds letter on behalf of a client.
Mark Sorrell Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Mark Sorrell is a red flag which should put all current and former customers of Mark Sorrell at Merrill Lynch, Pierce, Fenner & Smith Incorporatedon alert to review carefully the activity and performance of their accounts and question whether Mark Sorrell engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Mark Sorrell
If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Mark Sorrell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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