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 |
|---|---|---|---|---|---|---|---|---|
| Flor Estela Hernandez | 4932483 | 5 | 12/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan R Buttero | 5005364 | 1 | 12/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory G Davlin | 6132655 | 2 | 12/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyrell Rashad William Smith | 7170303 | 1 | 12/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher John Russon | 5108670 | 1 | 12/16/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Howell Rice | 5335577 | 6 | 12/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Flor Estela Hernandez | 4932483 | 5 | 12/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Suzanne Kay O'Donnell | 6899106 | 1 | 12/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lydia G Lavigne | 2473583 | 2 | 12/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Steven Householder | 7655879 | 2 | 12/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |