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 |
|---|---|---|---|---|---|---|---|---|
| Marvin Somlo | 6617205 | 1 | 06/12/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jesus G Sanchez | 4902989 | 1 | 06/10/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nestor Hsu | 7321052 | 3 | 06/06/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melika Assadi | 7693007 | 7 | 06/03/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen J Bissett | 6021895 | 3 | 05/31/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Allison Nicole Jewett | 7679173 | 1 | 05/23/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Kaley | 6660084 | 1 | 05/14/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lauren Julia Kaufman | 5383856 | 5 | 05/09/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Candice Gladney | 7606795 | 1 | 03/29/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Don Hardison | 5083497 | 3 | 03/15/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |