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 |
|---|---|---|---|---|---|---|---|---|
| Gwendolyn A Willey | 2642795 | 2 | 05/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Fletcher Brandon | 6641957 | 1 | 05/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Penelope Donnelly | 2729915 | 3 | 05/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Joseph Haller | 6779792 | 4 | 05/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Alan Christiani | 6910318 | 6 | 05/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clarise E Schaefer | 2813688 | 1 | 04/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tawa Arturo Saune | 7199204 | 1 | 04/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Garrett Dahm | 6819919 | 2 | 04/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Pheophanh Lepkham | 4248557 | 1 | 04/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Andrew Fernandez | 4835020 | 1 | 04/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |