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 |
|---|---|---|---|---|---|---|---|---|
| Gustavo O Lopez | 7062859 | 3 | 09/30/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stacey Baines Jones | 7005843 | 6 | 09/30/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charlie O Davidson | 7655826 | 1 | 09/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Antonio Stevenson | 6845946 | 1 | 09/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric M Green | 6565131 | 5 | 09/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vaughn Maurice Stukes | 7693046 | 1 | 09/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Antonieta S Sanchez | 4370559 | 4 | 09/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Antonieta S Sanchez | 4370559 | 4 | 09/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kendall Eugene Guyton | 7670499 | 1 | 09/16/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gabriela D Perdomo Fernandez | 6895785 | 3 | 09/16/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |