Former Merrill Lynch broker barred for hearing no-show

Finra was investigating Tyler Harris over his personal banking activity

Apr 13, 2018 @ 2:26 pm

By InvestmentNews

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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