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 |
|---|---|---|---|---|---|---|---|---|
| Gustavo Reis Ventura | 7028571 | 1 | 07/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas John Wagner | 2235740 | 2 | 06/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aaron Redmond | 6345167 | 1 | 06/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Horace Green | 6652568 | 1 | 06/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Courtney M Hogan | 4595472 | 1 | 06/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheng Joey Yang | 5933181 | 1 | 06/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ahmed Husam Idlibi | 7520626 | 4 | 06/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristina Mikaela Vinal | 7037271 | 5 | 06/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Suhaydi Reyes | 7598934 | 1 | 06/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darius Keith Gwathney | 6587675 | 2 | 06/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |