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 |
|---|---|---|---|---|---|---|---|---|
| Isashei Ortiz | 6592212 | 1 | 08/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George William Haro | 6663082 | 6 | 08/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Thomas Clyne | 6148043 | 1 | 08/15/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Louise Nolen | 4133587 | 3 | 08/12/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carl Augustine Hessel | 7369574 | 3 | 08/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alicia Marie Piz | 7181501 | 1 | 08/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chelsie Charolette Brandon | 6728007 | 1 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Savino Cappiello | 1849724 | 5 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Natalie Johnson | 6643788 | 3 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Natalie Johnson | 6643788 | 3 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |