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 |
|---|---|---|---|---|---|---|---|---|
| Naromie Saint-Clair | 5544877 | 12 | 05/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Madelyn D Kuczmarski | 7529337 | 1 | 05/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erika Hannah Zuluaga | 7687010 | 9 | 04/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erika Hannah Zuluaga | 7687010 | 9 | 04/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David M Dawson | 7417332 | 2 | 04/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Akbar Tirmizey | 7624247 | 2 | 04/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Bothe | 2962893 | 13 | 03/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Luke Bergstrom | 2887425 | 2 | 03/19/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Erika Hannah Zuluaga | 7687010 | 9 | 03/17/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erika Hannah Zuluaga | 7687010 | 9 | 03/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |