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 |
|---|---|---|---|---|---|---|---|---|
| Robert Steven Householder | 7655879 | 2 | 12/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandy Shu Perez | 7058190 | 2 | 12/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Lavone Martin | 5134112 | 16 | 12/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Lavone Martin | 5134112 | 16 | 12/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Lavone Martin | 5134112 | 16 | 12/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Lavone Martin | 5134112 | 16 | 12/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Lavone Martin | 5134112 | 16 | 12/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Matthew Thomas | 6327174 | 1 | 12/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven F Greene | 4274413 | 1 | 11/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Anthony Materia | 7618304 | 1 | 11/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |