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 |
|---|---|---|---|---|---|---|---|---|
| Abdoul Gadiry Diallo | 5376145 | 5 | 11/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Abdoul Gadiry Diallo | 5376145 | 5 | 11/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Abdoul Gadiry Diallo | 5376145 | 5 | 11/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roman J Burtman | 5528363 | 1 | 11/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Austin R Holcomb | 7035164 | 2 | 11/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Allan Leo Tentler | 5601241 | 2 | 11/18/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| F D Georger | 3057970 | 2 | 11/17/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Walid Tolba Morsi | 7186626 | 9 | 11/17/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Amberlie Jo McCutchan | 7299595 | 1 | 11/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Austin G Rosterolla | 7024462 | 1 | 10/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |