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 |
|---|---|---|---|---|---|---|---|---|
| Jacqueline Peng | 7640469 | 2 | 01/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Veronica Garibay Reyes | 6868332 | 1 | 01/08/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Lamarr Jack | 6756684 | 8 | 01/08/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Eric Pijuan | 6296186 | 8 | 01/07/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Abby H Smith | 6651092 | 5 | 01/03/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marie Elizabeth Hamilton | 2752685 | 4 | 12/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melanie Denise Avritt | 7486461 | 1 | 12/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aya El Hossaini | 7117256 | 1 | 12/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon L Hertzog | 7417264 | 4 | 12/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon L Hertzog | 7417264 | 4 | 12/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |