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 |
|---|---|---|---|---|---|---|---|---|
| Lee H Ellis | 5081783 | 2 | 02/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lee H Ellis | 5081783 | 2 | 02/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Seera Walter | 7140928 | 1 | 02/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leeann Sandberg | 6211877 | 5 | 02/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leeann Sandberg | 6211877 | 5 | 02/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Anthony Halliburton | 6722473 | 2 | 02/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephan Amvame Ekekang | 6942686 | 10 | 02/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Steven Gallen | 4317253 | 2 | 01/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marietta Eberle | 7496733 | 5 | 01/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donald David Sanders | 4896858 | 1 | 01/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |