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 |
|---|---|---|---|---|---|---|---|---|
| Stacy Starl Jurich | 5358172 | 3 | 01/05/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Raphael Derek Hochberg | 2392499 | 2 | 12/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Raphael Derek Hochberg | 2392499 | 2 | 12/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Austin R Holcomb | 7035164 | 2 | 12/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Reginald Okweziem Emordi | 4240752 | 1 | 12/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Akbar Tirmizey | 7624247 | 2 | 12/21/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rachel Minh Phuong Phan | 7415931 | 3 | 12/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Abdoul Gadiry Diallo | 5376145 | 5 | 11/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Bothe | 2962893 | 13 | 11/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Samuel Comstock | 7528953 | 1 | 11/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |