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 |
|---|---|---|---|---|---|---|---|---|
| Daniel P Lariccia | 5973523 | 3 | 10/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Abby H Smith | 6651092 | 5 | 10/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ethan M Peterson | 7439204 | 1 | 10/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Igor Istratii | 6979575 | 2 | 10/05/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Woodley Thebaud | 7705150 | 5 | 09/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rebecca Davis Devereux | 3039020 | 5 | 09/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rebecca Davis Devereux | 3039020 | 5 | 09/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Crystal Deshotels Bergeron | 7291593 | 4 | 09/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melody Fadako | 5829691 | 9 | 09/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hakan Sabit Uludag | 6867067 | 2 | 09/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |