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 |
|---|---|---|---|---|---|---|---|---|
| Sandra Marie Sulik | 2210297 | 6 | 06/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Alan Christiani | 6910318 | 6 | 06/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Alan Christiani | 6910318 | 6 | 06/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian James Heffern | 2490929 | 1 | 05/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon M Garcia | 6548334 | 1 | 05/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Maria Tenuto | 1546784 | 1 | 05/24/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christina Liza | 6643709 | 3 | 05/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Ralph Bryant | 6638916 | 4 | 05/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Josue Ruiz Chacon | 6763290 | 3 | 05/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Ralph Bryant | 6638916 | 4 | 05/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |