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 |
|---|---|---|---|---|---|---|---|---|
| Glyn Whyte | 6959779 | 3 | 08/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aaron Hudson | 6685549 | 3 | 08/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Eric Pijuan | 6296186 | 8 | 08/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shanon Still | 5360757 | 1 | 07/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramez Robbie Khzam | 6286085 | 7 | 07/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Edwin Lopez | 7189051 | 2 | 07/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melody Fadako | 5829691 | 9 | 07/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melody Fadako | 5829691 | 9 | 07/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Wayne Anthony | 2275363 | 1 | 07/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Perez | 6993133 | 1 | 07/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |