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 |
---|---|---|---|---|---|---|---|---|
Jared C Wix | 5993799 | 7 | 08/31/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Jeffrey William Dowling Holsinger | 7144842 | 1 | 08/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Joellen Garcia | 3195576 | 4 | 08/18/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Conveasna Ouch | 7023937 | 6 | 08/17/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Jared C Wix | 5993799 | 7 | 08/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Jared C Wix | 5993799 | 7 | 08/10/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Alf Martin Markussen | 7639898 | 2 | 08/05/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
John Christopher Gatto | 1415454 | 7 | 08/01/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Tyler C Cline | 6607892 | 3 | 07/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Lindsey Diane Waffle | 7639928 | 5 | 07/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |