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 |
|---|---|---|---|---|---|---|---|---|
| Angela Lissete Bush | 7693112 | 3 | 11/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy R Martin | 7671155 | 8 | 11/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Perez Nash | 6880030 | 6 | 11/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy R Martin | 7671155 | 8 | 11/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy R Martin | 7671155 | 8 | 11/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael James Boren | 6500730 | 2 | 11/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert J Matos | 1737830 | 2 | 11/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus A Utt | 7624038 | 4 | 11/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kaitlyn Fick | 7192003 | 1 | 11/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael James Boren | 6500730 | 2 | 10/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |