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 |
|---|---|---|---|---|---|---|---|---|
| Patricia Elizabeth Alfaro | 7140814 | 1 | 03/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derby Bernadel | 7086428 | 1 | 03/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Bothe | 2962893 | 13 | 02/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark P Ferguson | 6951547 | 1 | 02/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Javid Ehtibar Damir | 6718554 | 5 | 02/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Javid Ehtibar Damir | 6718554 | 5 | 02/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin N Jenkins | 7433172 | 2 | 02/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey W Dawkins | 5031138 | 1 | 02/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melody Earlene Sills | 4893757 | 1 | 02/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcia Zecca Lisboa | 7489897 | 4 | 02/02/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |