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 |
|---|---|---|---|---|---|---|---|---|
| Susan Kirsch Wintermute | 7070918 | 1 | 03/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean W Summers | 5078257 | 1 | 03/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Talero | 7528447 | 6 | 03/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Willie McReynolds | 6639237 | 1 | 03/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julie Ann van Gemert | 1200128 | 3 | 03/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Juan C Zayas | 4186511 | 1 | 03/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Vivas Caamano | 7479540 | 3 | 03/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Earl Harsh | 6186479 | 2 | 03/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Silas Deoliveira | 7479618 | 1 | 03/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tina A Sirignano | 4338988 | 6 | 03/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |