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 |
|---|---|---|---|---|---|---|---|---|
| James Paul Scherer | 7110356 | 6 | 04/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ana M Serna | 2922458 | 1 | 04/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Paul Scherer | 7110356 | 6 | 04/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Wynder | 7543823 | 4 | 04/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Ann Hart Keyser | 2588587 | 6 | 04/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristian Dean Michael | 6310774 | 5 | 04/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maurice Andrade | 7407736 | 1 | 04/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jaqueline Bernal | 5995775 | 3 | 04/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melacknesh Belay Igwe | 6853838 | 8 | 04/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon L Hertzog | 7417264 | 4 | 04/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |