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 |
|---|---|---|---|---|---|---|---|---|
| Latoya Lavone Martin | 5134112 | 16 | 02/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Wynder | 7543823 | 4 | 02/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Abby H Smith | 6651092 | 5 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Ryan Eherts | 7065791 | 3 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Walker | 7075182 | 1 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen R Stanley | 5726473 | 1 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Wynder | 7543823 | 4 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Ryan Moorman | 6344818 | 4 | 01/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Hodge | 7221051 | 1 | 01/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Natasha Rufino da Silva | 7058465 | 6 | 01/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |