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 |
|---|---|---|---|---|---|---|---|---|
| Ashley Deandre Lucien | 6915743 | 4 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kelly Ferguson | 4056018 | 6 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Lawson | 5237555 | 3 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Alan Christiani | 6910318 | 6 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stacey Baines Jones | 7005843 | 6 | 07/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Charles Pirk | 4412881 | 3 | 07/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alvin Yuheng Wan | 7495677 | 2 | 07/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Patrick Reyes | 3006027 | 3 | 07/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Carmelo Capella | 6115104 | 1 | 07/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mahan Hosseini | 5138388 | 1 | 07/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |