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 |
|---|---|---|---|---|---|---|---|---|
| Laura Perez Nash | 6880030 | 6 | 03/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicolas Ott | 7692932 | 3 | 03/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jean Louis Cuadra | 7543883 | 10 | 03/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jace Marquez Hartley | 7187992 | 1 | 03/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jean Louis Cuadra | 7543883 | 10 | 02/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Michael Kuban | 6470241 | 1 | 02/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jean Louis Cuadra | 7543883 | 10 | 02/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jean Louis Cuadra | 7543883 | 10 | 02/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carl Augustine Hessel | 7369574 | 3 | 02/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronna A Mansfield | 5044685 | 2 | 02/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |