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 |
|---|---|---|---|---|---|---|---|---|
| Steven Edward Grenagle | 6801385 | 4 | 12/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Lee Bradley | 4416191 | 3 | 12/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Dennis Altieri | 1719342 | 3 | 11/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather A Godwin | 2417140 | 2 | 11/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather A Godwin | 2417140 | 2 | 11/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Dennis Altieri | 1719342 | 3 | 11/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle A Banks | 4260090 | 1 | 11/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Trek | 5510901 | 1 | 11/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph James Ervin | 4431017 | 1 | 11/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Zingales | 1592841 | 1 | 11/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |