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 |
|---|---|---|---|---|---|---|---|---|
| Salvatore John Ruffino | 6315707 | 1 | 07/25/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jake R McPherson | 7220537 | 1 | 06/30/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David M Wilson | 4766367 | 4 | 11/15/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Yulia Kuzenko | 2972708 | 1 | 11/04/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeff C Jen | 3107738 | 2 | 05/07/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Farley | 6990902 | 2 | 03/07/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Neil Vinod Mehta | 5802739 | 3 | 10/18/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ian Ben Bass | 5459387 | 3 | 08/15/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jasminka Veljovic | 2847165 | 1 | 05/31/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| George Frank Maniatis | 1818227 | 1 | 05/06/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |