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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Marie Balducci | 4809939 | 1 | 09/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly D Austin | 6414780 | 7 | 09/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly D Austin | 6414780 | 7 | 09/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly D Austin | 6414780 | 7 | 09/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly D Austin | 6414780 | 7 | 09/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly D Austin | 6414780 | 7 | 09/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly D Austin | 6414780 | 7 | 09/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly D Austin | 6414780 | 7 | 09/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Patrick Donnelly | 2374887 | 7 | 09/16/2020 | Customer Dispute | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel David Rivas | 5461374 | 1 | 09/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |