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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Francis Nelson | 1344493 | 2 | 03/02/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Simon Alexander | 730282 | 2 | 01/30/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Aaron Wauters | 4451697 | 1 | 11/30/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian David Katz | 2426045 | 4 | 09/06/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony J Russo | 2276753 | 6 | 04/14/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Marie Croyle | 1654590 | 3 | 07/19/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Marie Croyle | 1654590 | 3 | 07/19/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Livia Roxana Corla | 4459380 | 1 | 04/27/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Luchan Ong | 1232869 | 3 | 02/24/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nelly A Garcia | 5532939 | 1 | 12/08/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |