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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Charles Senegal | 1511146 | 4 | 02/02/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wayne Dale Reid | 3103262 | 3 | 01/30/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Henry Jagers | 2176116 | 1 | 01/29/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melika Assadi | 7693007 | 7 | 01/29/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Huesken | 6196183 | 2 | 01/29/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melika Assadi | 7693007 | 7 | 01/02/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nestor Hsu | 7321052 | 3 | 12/21/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacqueline Alise Wilson | 7656191 | 1 | 12/08/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Loseli Daza | 7863049 | 4 | 12/06/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Khristian Adriane Soto Sanchez | 7657336 | 1 | 12/04/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |