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 |
|---|---|---|---|---|---|---|---|---|
| George Frank Maniatis | 1818227 | 2 | 04/24/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Joseph Boccia | 6235618 | 1 | 04/17/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angela Lissete Bush | 7693112 | 3 | 04/10/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maya Chantel Byrd | 7565508 | 4 | 04/06/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chungyanjoanne Lo | 6695547 | 6 | 03/31/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared C Wix | 5993799 | 9 | 03/31/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan A Guerin | 6978150 | 1 | 03/29/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Baldemar Garza | 7528747 | 1 | 03/28/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua P Ainsley | 7693044 | 7 | 03/15/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chungyanjoanne Lo | 6695547 | 6 | 03/15/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |