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 |
|---|---|---|---|---|---|---|---|---|
| Serge Jean Pierre Coudert | 6080879 | 2 | 08/10/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared C Wix | 5993799 | 9 | 08/10/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Christopher Gatto | 1415454 | 7 | 08/01/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lindsey Diane Waffle | 7639928 | 5 | 07/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lindsey Diane Waffle | 7639928 | 5 | 07/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Josue Ruiz Chacon | 6763290 | 3 | 07/20/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua P Ainsley | 7693044 | 7 | 07/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared C Wix | 5993799 | 9 | 07/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Priti A Mendonca | 7468825 | 1 | 07/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Andre Smith | 7690805 | 2 | 07/12/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |