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 |
|---|---|---|---|---|---|---|---|---|
| James A Ward | 6150246 | 2 | 01/21/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James A Ward | 6150246 | 2 | 01/18/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric M Green | 6565131 | 4 | 12/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Britton Hue Trimmer | 4184491 | 5 | 12/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jorge Luis Taverasurena | 7172947 | 3 | 12/06/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jorge Luis Taverasurena | 7172947 | 3 | 12/06/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared C Wix | 5993799 | 7 | 11/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared C Wix | 5993799 | 7 | 10/20/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stacey Baines Jones | 7005843 | 6 | 09/30/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gustavo O Lopez | 7062859 | 3 | 09/30/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |