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 |
|---|---|---|---|---|---|---|---|---|
| Emily Yao Lu | 7191693 | 2 | 09/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Abby H Smith | 6651092 | 5 | 09/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jose Enrique Sierra | 7705136 | 1 | 08/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David H Eliasen | 4475598 | 1 | 08/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon K Koons | 7604552 | 1 | 08/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ashley Elizabeth Gardner | 5505279 | 3 | 08/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zaed S Shamoon | 6929288 | 3 | 08/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ashley Deandre Lucien | 6915743 | 4 | 08/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Eric Pijuan | 6296186 | 8 | 08/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristina Jackson | 7434013 | 1 | 08/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |