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 |
|---|---|---|---|---|---|---|---|---|
| Fernando K Cubillas | 5417104 | 2 | 12/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryant Stein | 7322004 | 1 | 12/04/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Lavone Martin | 5134112 | 16 | 12/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Nichollas MacCeo Hill | 6779824 | 1 | 12/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Flor Estela Hernandez | 4932483 | 5 | 12/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julie Gale Krieg | 6918377 | 1 | 12/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew G Kirkland | 7413463 | 1 | 12/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ashley Elizabeth Gardner | 5505279 | 3 | 12/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Bomberry | 6753400 | 1 | 11/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus A Utt | 7624038 | 4 | 11/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |