Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Steven V Lang | 4762818 | 1 | 08/31/2020 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| George C Todd | 1206553 | 2 | 03/23/2020 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Archibald Adam Walker | 1235949 | 4 | 02/21/2018 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Dirk Joseph Harris | 4528418 | 4 | 08/26/2009 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |