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 | 07/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walid Tolba Morsi | 7186626 | 9 | 07/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Dean | 5825492 | 3 | 07/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walid Tolba Morsi | 7186626 | 9 | 07/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anita Louise Hymes | 7667694 | 1 | 07/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick J Kline | 7260009 | 1 | 07/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Lamarr Jack | 6756684 | 8 | 07/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew John Montero | 6126330 | 1 | 07/03/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Fuentes Carmona | 7606081 | 1 | 07/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chungyanjoanne Lo | 6695547 | 6 | 06/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |