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 |
|---|---|---|---|---|---|---|---|---|
| Erica Tyree | 6821322 | 2 | 12/04/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Garry Bertrand | 4195721 | 2 | 12/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Colleen Marie Alcin | 2540078 | 1 | 12/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa S Scruggs | 6364734 | 2 | 12/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen Anne Hatcher | 2344145 | 2 | 11/21/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Wade Eldridge | 2409686 | 1 | 11/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cornelia S O'Grady | 4621507 | 2 | 11/14/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Louise Nolen | 4133587 | 3 | 11/07/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Kacean McCoy | 3220333 | 3 | 11/03/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Garry Bertrand | 4195721 | 2 | 11/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |