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 |
|---|---|---|---|---|---|---|---|---|
| Jo-Ellen Garcia-McKinnon | 3195576 | 4 | 08/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jo-Ellen Garcia-McKinnon | 3195576 | 4 | 08/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Liam L McCarthy | 7439201 | 1 | 08/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shane Michael Baker | 5802789 | 2 | 08/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert C Hall | 4491802 | 1 | 08/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Danilo Rodrigues de Carvalho | 7461601 | 7 | 08/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Lawrence Gosz | 6810396 | 5 | 08/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Carol Praeger | 3158452 | 3 | 08/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Danilo Rodrigues de Carvalho | 7461601 | 7 | 08/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Antonieta S Sanchez | 4370559 | 4 | 07/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |