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 |
|---|---|---|---|---|---|---|---|---|
| Michael A Estevez | 7499951 | 3 | 01/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael A Estevez | 7499951 | 3 | 01/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy R Martin | 7671155 | 8 | 01/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John P Hogan | 7514911 | 1 | 01/23/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yanira Pichardo | 7595552 | 2 | 01/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yanira Pichardo | 7595552 | 2 | 01/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dmitriy G Stepanov | 5983978 | 2 | 01/21/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Patrick Tosha | 5970854 | 3 | 01/20/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alisa Patton | 5238118 | 5 | 01/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jose Miguel Perez Vivaldo | 6809621 | 1 | 01/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |