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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Kim | 6948814 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John M Harper | 6704061 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Robert Curran | 4294228 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edson Arroyo | 6431945 | 3 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hector M Amezcua | 5677533 | 1 | 08/06/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Willis | 6315934 | 1 | 07/17/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mitchell Steven Behm | 1494507 | 3 | 07/01/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cynthia S Hanning | 4542542 | 1 | 04/16/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephanie Griffith Lyman | 5835163 | 1 | 09/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Richard MacKey | 5444779 | 2 | 04/25/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |