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 |
|---|---|---|---|---|---|---|---|---|
| William Howell Rice | 5335577 | 6 | 01/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bland Matthews | 6106215 | 2 | 01/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emilio Guajardo | 4871764 | 5 | 01/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karon Blue | 7076205 | 1 | 01/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Ann Bada | 2731965 | 2 | 01/04/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Lavone Martin | 5134112 | 16 | 01/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler Paul Sutherland | 6699752 | 4 | 01/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clarence Xavier Young | 5221375 | 4 | 01/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheldon Shane Stephen | 5910494 | 6 | 01/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jean Louis Cuadra | 7543883 | 10 | 12/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |