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 |
|---|---|---|---|---|---|---|---|---|
| Keri Metcalf Yarbrough | 5018264 | 3 | 05/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mujtaba A Siddiqui | 6304002 | 5 | 05/07/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mujtaba A Siddiqui | 6304002 | 5 | 05/07/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mujtaba A Siddiqui | 6304002 | 5 | 05/07/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Dean | 5825492 | 3 | 05/05/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Hilton-Floyd Abernethy | 7255006 | 2 | 05/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erika L Hughes | 7642131 | 3 | 05/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Hilton-Floyd Abernethy | 7255006 | 2 | 05/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Barnes | 6737714 | 1 | 05/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nigel Ellis Rouse | 7196571 | 2 | 05/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |