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 |
|---|---|---|---|---|---|---|---|---|
| Isabel Cote | 6854240 | 3 | 04/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tiffany Renee Sanders | 7005829 | 2 | 04/23/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maher I Warrayat | 7529358 | 2 | 04/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Caitlin Derose | 6034660 | 1 | 04/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Juan Jose Pino | 7471228 | 2 | 04/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George Christo-Baker | 7268540 | 3 | 04/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George Christo-Baker | 7268540 | 3 | 04/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erika Hannah Zuluaga | 7687010 | 9 | 04/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael A Estevez | 7499951 | 3 | 04/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keri Metcalf Yarbrough | 5018264 | 3 | 04/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |