Not yet a broker, yet barred by Finra

Holly Arbuckle opted out of testifying at inquiry.
MAR 27, 2018

The Financial Industry Regulatory Authority, Inc. has barred Holly Arbuckle, who was in the process of becoming a broker at Merrill Lynch, for not appearing at a hearing investigating the circumstances of her dismissal from the firm. On Sept. 13, 2017, less than two months after it sought Finra registration for Ms. Arbuckle, Merrill Lynch terminated her association with the firm prior to her registration becoming effective. Last month, Finra sent a request to Ms. Arbuckle for on-the-record testimony in connection with the regulator's review of her conduct while sitting for the Series 7 examination in September 2017.

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