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 |
|---|---|---|---|---|---|---|---|---|
| Kristin E Richards | 2309551 | 1 | 04/19/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristian Dean Michael | 6310774 | 5 | 04/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristian Dean Michael | 6310774 | 5 | 04/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Irhad Pekmez | 5521481 | 1 | 04/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Lee Burrell | 7078998 | 3 | 04/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Crystal Deshotels Bergeron | 7291593 | 4 | 04/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Adam Reeder | 7291973 | 2 | 04/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mujtaba A Siddiqui | 6304002 | 5 | 04/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Paul Scherer | 7110356 | 6 | 04/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Paul Scherer | 7110356 | 6 | 04/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |