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 |
|---|---|---|---|---|---|---|---|---|
| Tina A Sirignano | 4338988 | 6 | 01/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sally A Howell | 6227856 | 1 | 12/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angela Lissete Bush | 7693112 | 3 | 12/23/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melody Fadako | 5829691 | 9 | 12/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Bothe | 2962893 | 13 | 12/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walid Tolba Morsi | 7186626 | 9 | 12/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Eric Pijuan | 6296186 | 8 | 12/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Ramirez | 7288822 | 2 | 12/07/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Bothe | 2962893 | 13 | 11/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David M Dawson | 7417332 | 2 | 11/25/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |