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 |
|---|---|---|---|---|---|---|---|---|
| Mujtaba A Siddiqui | 6304002 | 5 | 06/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Howell Rice | 5335577 | 6 | 06/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donte Lamont Maith | 7431663 | 1 | 05/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Quan The Luu | 4540155 | 2 | 05/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chaminuka Ayinde Holliman | 7113409 | 2 | 05/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chaminuka Ayinde Holliman | 7113409 | 2 | 05/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Malik Dominique Johnson | 7110426 | 2 | 05/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Beth Momber | 5366890 | 15 | 05/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Beth Momber | 5366890 | 15 | 05/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Beth Momber | 5366890 | 15 | 05/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |