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 |
|---|---|---|---|---|---|---|---|---|
| Marie L Dean | 6435956 | 1 | 01/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jamie D Zamani | 4891047 | 3 | 01/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen O'Kane | 4940571 | 1 | 01/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey J McKenna | 5122265 | 5 | 01/12/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Maiden | 7631236 | 1 | 01/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Micaela Hill | 6358742 | 1 | 01/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared Patrick Efurd | 6695170 | 2 | 01/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darrell Joe Sweeting | 6446765 | 2 | 01/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Joseph Haller | 6779792 | 4 | 01/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Bostelman | 4898998 | 1 | 01/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |