November 15, 2023 – An AWC was issued in which Mercer was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Mercer consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into a customer’s investment in a crypto asset offering away from his member firm. (FINRA Case #2023079873002)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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