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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer Ann Novy | 7060164 | 6 | 03/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Ann Novy | 7060164 | 6 | 03/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wilfredo Medina | 7612978 | 2 | 03/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Herter Ekstrom | 4797868 | 2 | 03/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Herter Ekstrom | 4797868 | 2 | 03/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Syed Abdul Rumin | 4896355 | 1 | 03/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristian Dean Michael | 6310774 | 5 | 03/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Leone | 7119423 | 1 | 03/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Natasha Rufino da Silva | 7058465 | 6 | 03/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Natasha Rufino da Silva | 7058465 | 6 | 03/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |