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 |
|---|---|---|---|---|---|---|---|---|
| Melody Fadako | 5829691 | 9 | 11/25/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Bothe | 2962893 | 13 | 11/25/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erika Hannah Zuluaga | 7687010 | 9 | 11/23/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Young | 7332074 | 1 | 11/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erika Hannah Zuluaga | 7687010 | 9 | 11/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronna A Mansfield | 5044685 | 2 | 11/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wilfredo Medina | 7612978 | 2 | 11/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Watson | 7060926 | 2 | 11/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dante Deshe Lavender | 7256687 | 1 | 11/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jarred Palmquist | 7693072 | 4 | 11/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |