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 |
|---|---|---|---|---|---|---|---|---|
| Ahmed Husam Idlibi | 7520626 | 4 | 02/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Britton Hue Trimmer | 4184491 | 5 | 02/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Elias Lucero | 6410995 | 6 | 02/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daryl W Dehn | 4778271 | 2 | 01/27/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maria Zielyk | 1370200 | 5 | 01/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maria Zielyk | 1370200 | 5 | 01/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jose Emmanuel Triana | 5831918 | 1 | 01/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Warren Chang | 5783926 | 3 | 01/19/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Krzysztof Zoltek | 5519912 | 2 | 01/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tamara Lynnette Naylor | 3180725 | 1 | 01/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |