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 |
|---|---|---|---|---|---|---|---|---|
| Cecilia C Lyon | 7189833 | 6 | 09/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paula Paula Gutierrez | 6934169 | 1 | 09/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cecilia C Lyon | 7189833 | 6 | 09/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dean T Ravenscroft | 7036330 | 1 | 09/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emily Yao Lu | 7191693 | 2 | 09/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aaron Hudson | 6685549 | 3 | 09/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cecilia C Lyon | 7189833 | 6 | 09/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shelby M Hallford | 7189606 | 2 | 09/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shelby M Hallford | 7189606 | 2 | 09/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Clark Vaughn | 7007401 | 2 | 09/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |