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 |
|---|---|---|---|---|---|---|---|---|
| Miguel Angel Talero | 7528447 | 6 | 05/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Troy M Hein | 7158604 | 1 | 05/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jaqueline Bernal | 5995775 | 3 | 05/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Lamanna | 7265611 | 4 | 05/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Patrick Tosha | 5970854 | 3 | 05/08/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jaqueline Bernal | 5995775 | 3 | 05/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ricky Rijel Meriwether | 7203615 | 1 | 05/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dominick Santangelo | 2522101 | 1 | 05/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aaron Hudson | 6685549 | 3 | 05/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Beth Momber | 5366890 | 15 | 04/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |