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 |
|---|---|---|---|---|---|---|---|---|
| Steven Lott | 7140988 | 3 | 05/09/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Albert J Krauza | 5209450 | 2 | 05/09/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Alden Kingsley | 7350826 | 1 | 05/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clarence Xavier Young | 5221375 | 4 | 05/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melacknesh Belay Igwe | 6853838 | 8 | 05/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Lott | 7140988 | 3 | 04/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christian William Grumm | 7595443 | 1 | 04/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Goodson | 6036990 | 2 | 04/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nealson Wayne Adamson | 4513869 | 2 | 04/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melody Fadako | 5829691 | 9 | 04/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |