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 |
|---|---|---|---|---|---|---|---|---|
| Brandon Deandre' Biggs | 6929817 | 3 | 10/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sahar Shakeri | 6705387 | 1 | 09/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Kureck | 6904522 | 1 | 09/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Samuel Phillips | 7153751 | 3 | 09/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Thomas Zawistowski | 7020990 | 2 | 09/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ian Ben Bass | 5459387 | 3 | 09/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donna Mears | 6883561 | 1 | 09/12/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Natalie Johnson | 6643788 | 3 | 09/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory K Record | 6089584 | 1 | 08/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Loseli Daza | 7863049 | 4 | 08/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |