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 |
|---|---|---|---|---|---|---|---|---|
| Fernando K Cubillas | 5417104 | 2 | 12/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon L Hertzog | 7417264 | 4 | 12/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Srinivasa Mahendra Pokala | 7542097 | 1 | 12/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julie Ann van Gemert | 1200128 | 3 | 12/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy R Martin | 7671155 | 8 | 12/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emmanuel Adoghe | 7314921 | 1 | 11/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hakan Sabit Uludag | 6867067 | 2 | 11/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy R Martin | 7671155 | 8 | 11/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Lavone Martin | 5134112 | 16 | 11/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel E Peterson | 4037233 | 1 | 11/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |