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 |
|---|---|---|---|---|---|---|---|---|
| Catherine Elizabeth Portner | 7201729 | 2 | 10/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin P Smith | 6345204 | 1 | 10/24/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Byron Ratliff | 6587330 | 2 | 10/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus J Laube | 2727972 | 3 | 10/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Allen Gerig | 6375572 | 4 | 10/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ashton A Brown | 6386790 | 1 | 10/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus J Laube | 2727972 | 3 | 10/09/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramez Robbie Khzam | 6286085 | 7 | 10/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cecilia C Lyon | 7189833 | 6 | 10/04/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cecilia C Lyon | 7189833 | 6 | 09/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |