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 | 06/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Glyn Whyte | 6959779 | 3 | 06/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Wade Kallen | 2947201 | 1 | 06/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marietta Eberle | 7496733 | 5 | 06/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Elizabeth McElhose | 7422086 | 1 | 06/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Eric Pijuan | 6296186 | 8 | 06/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Felix Rene Sanchez Carrasquillo | 5392527 | 1 | 06/15/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brandi L Harrington | 7543842 | 3 | 06/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Victor Ludlum | 6368316 | 3 | 06/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Paul Scherer | 7110356 | 6 | 06/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |