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 |
|---|---|---|---|---|---|---|---|---|
| David Godinez | 6878454 | 2 | 09/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cornelia S O'Grady | 4621507 | 2 | 09/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mathieu James | 5836721 | 1 | 09/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey J McKenna | 5122265 | 5 | 09/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Angelo Amirante | 2700763 | 2 | 09/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Zollo | 6987722 | 2 | 09/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jerilyn Kay Bostock | 2665798 | 1 | 09/08/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gail Ruth Porter | 1265932 | 1 | 09/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Ottwin Anderson | 2139689 | 4 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason L Palmgren | 7656001 | 3 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |