Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that New York-based Merrill Lynch broker/adviser Steven Ernst has received an unsatisfied tax lien. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ernst (CRD# 1276437).
Steven Ernst has spent 33 years in the securities industry and has been registered with Merrill Lynch in New York, New York since 1984. He has no previous registrations. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 13, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 29, 1984; and Series 7 (General Securities Representative Examination), which he obtained on June 16, 1984. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Iowa, Maine, Maryland, Massachusetts, Minnesota, New Hampshire, New Jersey, New Mexico, New York, Ohio, Pennsylvania, South Carolina, Texas, Vermont, and Virginia. His self-regulatory organization (SRO) registrations include: BOX Options Exchange, Cboe C2 Exchange, Cboe EDGX Exchange, the Chicago Stock Exchange, FINRA, Investors’ Exchange, the Miami International Securities Exchange, NYSE American, NYSE Arca, Nasdaq GEMX, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one unsatisfied tax lien and three customer complaints that were denied or withdrawn.
In December 2017 the Internal Revenue Service filed a tax lien totaling $141,843.53 against him. The lien remains outstanding.
If you have lost money investing with Steven Ernst, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.