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 |
|---|---|---|---|---|---|---|---|---|
| Norman Watts Shumate | 7076212 | 6 | 01/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Norman Watts Shumate | 7076212 | 6 | 01/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott T MacBeth | 3166221 | 2 | 01/25/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle Hulse | 2725876 | 2 | 01/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zachary James Halloran | 6907432 | 2 | 01/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Alan Boggan | 2414174 | 5 | 01/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael K Johnson-Clyburn | 7692925 | 3 | 01/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly M Williams | 6867966 | 1 | 01/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melody Fadako | 5829691 | 9 | 01/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher D Carrano | 4610339 | 1 | 01/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |