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 |
|---|---|---|---|---|---|---|---|---|
| Michael S Mason | 6555371 | 1 | 01/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Perez Nash | 6880030 | 6 | 01/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Sullivan | 6374483 | 3 | 01/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Sullivan | 6374483 | 3 | 01/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Sullivan | 6374483 | 3 | 01/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael David McKay | 6423726 | 1 | 01/17/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Geraldine J Rodrigues | 6694057 | 1 | 01/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephanie L Forner | 5736914 | 2 | 01/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melody Fadako | 5829691 | 9 | 01/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcia Zecca Lisboa | 7489897 | 4 | 01/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |