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 |
|---|---|---|---|---|---|---|---|---|
| Ashley S Sinason | 6287544 | 1 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Andrew Azpeitia | 6166258 | 2 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Princessa Charmain Clegg-Palmer | 5339537 | 1 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Roman Taylor | 1803294 | 1 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Krista Harmon | 3158354 | 1 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Barnett | 6020507 | 3 | 08/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Zuber | 5574334 | 1 | 08/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Haley Riggs | 6587314 | 1 | 08/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Trey Edwin Clark | 4964356 | 1 | 08/21/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Justin Stuart Pope | 5152783 | 1 | 08/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |