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 |
|---|---|---|---|---|---|---|---|---|
| Danilo Rodrigues de Carvalho | 7461601 | 7 | 11/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erika Hannah Zuluaga | 7687010 | 9 | 11/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walid Tolba Morsi | 7186626 | 9 | 11/07/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Bothe | 2962893 | 13 | 11/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Bothe | 2962893 | 13 | 11/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Bothe | 2962893 | 13 | 11/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Winifred Wikkeling | 2908330 | 3 | 10/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jarred Palmquist | 7693072 | 4 | 10/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jarred Palmquist | 7693072 | 4 | 10/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jameson S Smith | 7692959 | 1 | 10/20/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |