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 |
|---|---|---|---|---|---|---|---|---|
| Juan Jose Pino | 7471228 | 2 | 10/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Abdoul Gadiry Diallo | 5376145 | 5 | 10/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Kintner | 6022485 | 1 | 10/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julie Ann van Gemert | 1200128 | 3 | 10/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Okeefe | 7173790 | 1 | 10/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Hartley Godwin | 2986116 | 2 | 10/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maurice Allen Lyle | 7081091 | 4 | 10/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maurice Allen Lyle | 7081091 | 4 | 10/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Thomas Blewitt | 7098001 | 1 | 10/02/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy L McAvoy | 7216144 | 2 | 10/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |