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 |
|---|---|---|---|---|---|---|---|---|
| Stephanie L Forner | 5736914 | 2 | 11/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Parth Parikh | 7050104 | 1 | 11/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheldon Shane Stephen | 5910494 | 6 | 11/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheldon Shane Stephen | 5910494 | 6 | 11/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Malik Mandel Moore | 6359730 | 4 | 11/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daryn W Pingleton | 1520639 | 6 | 11/16/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charlene R Parrish | 5262863 | 2 | 11/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stacey Baines Jones | 7005843 | 6 | 11/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd G Sherman | 5171201 | 1 | 11/09/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander Brock Kimmey | 6434168 | 1 | 11/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |