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 |
|---|---|---|---|---|---|---|---|---|
| Joshua Dean | 5825492 | 3 | 10/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Serge Jean Pierre Coudert | 6080879 | 2 | 10/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zaed S Shamoon | 6929288 | 3 | 10/21/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Katherine H Soderman | 2556527 | 1 | 10/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thaddeus Jean Baptiste | 6921425 | 4 | 10/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Meriam R Abbo | 6180521 | 1 | 10/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Imrith | 6319163 | 4 | 10/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Imrith | 6319163 | 4 | 10/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Imrith | 6319163 | 4 | 10/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Imrith | 6319163 | 4 | 10/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |