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 |
|---|---|---|---|---|---|---|---|---|
| Heather Jean Winfield | 3124042 | 1 | 09/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tehran Stokes | 7199206 | 4 | 09/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emily Ellen Broussard | 7273442 | 1 | 09/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Lamanna | 7265611 | 4 | 09/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lindsey Diane Waffle | 7639928 | 5 | 09/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ian Thomas Geffers | 4109186 | 1 | 08/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Igor Istratii | 6979575 | 2 | 08/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maher I Warrayat | 7529358 | 2 | 08/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Malik Farrad Waleed | 6134497 | 4 | 08/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walid Tolba Morsi | 7186626 | 9 | 08/20/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |