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 |
|---|---|---|---|---|---|---|---|---|
| Chungyanjoanne Lo | 6695547 | 6 | 06/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Talero | 7528447 | 6 | 06/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald B Levi | 6502868 | 2 | 06/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald B Levi | 6502868 | 2 | 06/25/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Hardesty | 6433304 | 1 | 06/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Deviet Gaul | 7186594 | 3 | 06/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Young | 6756424 | 1 | 06/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathanael Leveille | 6324617 | 1 | 06/08/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Tanner Lovell | 7506008 | 1 | 06/08/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alisa Patton | 5238118 | 5 | 06/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |