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 |
|---|---|---|---|---|---|---|---|---|
| Cole Andrew Mohrman | 7705174 | 1 | 03/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lasandra Sanders | 6571772 | 6 | 03/18/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chloe Lee Zaft | 7474848 | 1 | 03/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Salvador Rodriguezrodriguez | 7529807 | 2 | 03/04/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jafet Garcia | 7614342 | 1 | 03/03/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Bothe | 2962893 | 13 | 02/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Bothe | 2962893 | 13 | 02/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Fabian Gutierrez | 7565446 | 1 | 02/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Giovanni A Roman | 7335344 | 1 | 02/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Bothe | 2962893 | 13 | 02/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |