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 |
|---|---|---|---|---|---|---|---|---|
| Luis Carrizosa | 5833321 | 1 | 04/14/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey J Carter | 5332331 | 3 | 03/01/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Montalvo | 5813352 | 1 | 02/19/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jitian Tan | 3177626 | 1 | 07/10/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dilini Weerasooriya | 6075528 | 1 | 03/19/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas Legate Howard | 1019738 | 3 | 01/20/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Margaret Ruth McClain | 4737681 | 1 | 12/31/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth George O'Toole | 4770596 | 1 | 06/20/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Corrie Dore Evangeliou | 2573725 | 1 | 04/02/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew R Berg | 5517640 | 1 | 09/27/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |