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 |
|---|---|---|---|---|---|---|---|---|
| Armando Villalobos | 7848537 | 1 | 08/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melika Assadi | 7693007 | 7 | 08/23/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melika Assadi | 7693007 | 7 | 08/23/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Hoffman | 4900510 | 4 | 08/19/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angela-Marie Tomaszycki | 7655896 | 2 | 08/08/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angela-Marie Tomaszycki | 7655896 | 2 | 07/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anna M McCormick | 4135436 | 6 | 07/11/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lance Lee Everett Stanchel-Skyler | 7606559 | 4 | 07/10/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen J Bissett | 6021895 | 3 | 06/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roger M Wallach | 2460445 | 2 | 06/18/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |