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 |
|---|---|---|---|---|---|---|---|---|
| Vladislav Fomin-Nazarov | 7616406 | 1 | 02/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy R Martin | 7671155 | 8 | 02/07/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tina A Sirignano | 4338988 | 6 | 02/06/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Isabel Cote | 6854240 | 3 | 02/06/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Abby H Smith | 6651092 | 5 | 02/05/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walid Tolba Morsi | 7186626 | 9 | 02/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Thomas Teti | 4809528 | 3 | 01/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy R Martin | 7671155 | 8 | 01/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus A Utt | 7624038 | 4 | 01/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kerry Lucas | 7656018 | 1 | 01/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |