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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Ryan Ruiz | 7693026 | 1 | 07/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramez Robbie Khzam | 6286085 | 7 | 07/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramez Robbie Khzam | 6286085 | 7 | 07/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramez Robbie Khzam | 6286085 | 7 | 07/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramez Robbie Khzam | 6286085 | 7 | 07/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randen T Brown | 7520020 | 1 | 07/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jamie D Zamani | 4891047 | 3 | 07/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stefanie Lyne Jenkins | 4950481 | 1 | 07/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Dewitt Bateman | 4737887 | 2 | 06/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Glyn Whyte | 6959779 | 3 | 06/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |