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 |
|---|---|---|---|---|---|---|---|---|
| Amy Morancie | 7492605 | 1 | 02/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jean Louis Cuadra | 7543883 | 10 | 02/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jean Louis Cuadra | 7543883 | 10 | 02/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Leavell Sanders | 6416364 | 1 | 02/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jean Louis Cuadra | 7543883 | 10 | 02/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anna M McCormick | 4135436 | 6 | 02/09/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Deanna Rae Conerly | 6485628 | 4 | 02/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ashley Deandre Lucien | 6915743 | 4 | 02/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ashley Deandre Lucien | 6915743 | 4 | 02/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emilio Guajardo | 4871764 | 5 | 02/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |