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 |
|---|---|---|---|---|---|---|---|---|
| Marie Elizabeth Hamilton | 2752685 | 4 | 08/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stacy Starl Jurich | 5358172 | 3 | 08/23/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas John Wagner | 2235740 | 2 | 08/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randy McLeod | 6774971 | 1 | 08/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jaime Saul Rodriguez | 4039914 | 1 | 08/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Kieran Cook | 7235615 | 1 | 08/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ahmed Gamal Ahmed Issa | 7140873 | 2 | 08/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas B Zimmer | 6956067 | 1 | 07/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Walsh | 5732634 | 2 | 07/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Baklas | 6740403 | 2 | 07/23/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |